This tool is used for documenting enhanced due diligence (annual or more frequently) on cash intensive customers, MSB's and those with private ATM's.
BOL user P*Q has provided a checklist her bank finds useful and she hope you may as well.
From our friends at AccuSystems, this is a free spreadsheet to track exceptions. It includes the basic logic from its exception management software made simple.
A chart in tabular format that compares and contrasts the Servicemembers Civil Relief Act and the Military Lending Act.
A quick reference guide to Reg CC availability requirements.
This Non-Profit Customer Profile form allows a bank to build its initial risk profile of a non-profit customer in conformance with BSA requirements, at account opening.
Sample transactions to practice placing holds under Reg CC.
This March 2014 newsletter issued by the Kansas City Branch of the FDIC includes an article about the FDIC's view of and concerns about the practice of charging fees when a consumer's deposit account has remained overdrawn for more than a prescribed number of days
This Excel spreadsheet is a tool for managing audits.
The three tabs to the worksheet are a planning calendar that indicates when audits are scheduled including the projected completion date, who the auditor will be and the date of actual completion. The second tab is an overview of the audit results and the third tab is a compilation of violations found that are tabulated and expressed in pie chart form by type and location. Tab 2 is meant to be used in a management recap report as are the pie charts. This is done automatically in a separate Word file report on the state of the audit program. Write once - read many.
Reg CC Hold Notice Calendar - calculator.
If a prospective customer has ever provided "constructive notice" to you of the reasons why it is supposedly within the person's legal right to refuse to provide a Taxpayer Identification Number, d
An ATM checklist used primarily for branch and/or compliance staff to conduct periodic reviews of their ATMs. While general in nature, it includes questions on ADA, signage, security and transaction/compliance issues. While it is not network-specific the comment space at the bottom could accommodate any unique needs/features of a particular institution or ATM.
JacFSB has been around BOL a long time. He saw a need for a basic new account worksheet that would help frontline personnel obtain the information necessary to best serve customers.
BOL User Wendy LaVoie, CPA and Corporate Auditor at FirstBank Northwest provided this certification log in response to users' requests.
Sarah Scott, CRCM and VP Compliance and CRA at County Bank in Merced, CA, has provided this Excel worksheet to assist bankers in managing red flag warnings.