Request for SAR supporting documents

The Dept. of Homeland Security called us about requesting supporting documentation for a recently filed SAR. An agent from the department will be visiting us in person to request & obtain those documents. We have not had a request like this before, so I would like to get some guidelines prior to this visit. In addition to requesting to see the agents credentials when he arrives at the bank, is there anything else that I need from him? Do I need to have this request in writing for our documentation & retention purposes? Is it correct that we should only supply supporting documentation that was referred to in the SAR?

In addition to requesting to see the agents credentials when he arrives at the bank, is there anything else that I need from him?

Not really.

Do I need to have this request in writing for our documentation & retention purposes?

It would be nice but not required

Is it correct that we should only supply supporting documentation that was referred to in the SAR?

Absolutely

When we receive such a request, we do require that it be confirmed in writing and that it includes the DCN of the SAR in question. We also independently authenticate his/her authority, etc. before complying with the request.

Just my opinion, use caution if they attempt to engage in conversation re the subject which is outside the scope of supporting docs.

Of course, if they provide a subpoena they can have the other data. When contacted, I often also received a subpoena.

I'm new to the BSA Officer role.

Recently received a call from an alleged DHS Agent requesting SAR supporting documentation.

He asked for me e-mail address (which I provided) and he sent me an e-mail asking that I "...accept this email as a request for the supporting documentation associated with..." SAR ####.

There was no attachment (subpoena, summons, warrant, etc.).

Is this legit? Is this how the DHS would normally make a request like this?

Please advise.

Not unusual for a department of law enforcement to reach out and ask for the supporting documentation for a SAR that was filed so they can look into it and see if it makes sense to pursue it. That said, I make sure I identify the individual (make sure they work for that department and does the email look legit) requesting the information prior to sending out the supporting documentation. If they are asking for additional information that was not included in the SAR then I ask for a subpoena.

Law enforcement does not need to supply a subpoena for SAR supporting documentation. If they have the correct DCN for the SAR and the email is coming from the appropriate @ handle, I think you have a legit request.

Thank you for the responses.

The following was brought to my attention: https://www.fincen.gov/index.php/re...activity-report-supporting-documentation (paragraph 3).

i do a cold call back to the agency etc. they identified themselves as being with first to determine if the party requesting is in fact who they say they are and who they say they are with.

Agreed. Thank you.

our local FBI office frequently provide their cell numbers for callback, we tell them send us an email on their FBI address with what they are looking for, and make sure their office and cell number are included there. And we also have a central point of contact in the bank that these are all filtered to, which helps us as well