Article suggestions
AML Compliance requires 4 things - 1.) AML Officer (that's you), 2.) Compliance Plan (your 1-70 BSA AML Plan) 3.) Annual Training, and 4.) Independent Review
What documents do we keep after a file closes? Can I just get a printout from my lender?
Georgia's recently begun processing exams through the State Examination System (SES) platform
The SES (State Examination System) automates audits SA's (Supervisory Activity). Here's how to add a user to your SA
We have provided specific instructions in the Audit Engagement letter, but this Video Training Course will help you understand how to complete the questionnaire for a speedy and accurate Independent Audit Report.
In addition to answering a manager's questionnaire, the regulator may ask for documentation from your packages. How do I package that material?
Illinois' periodic examination requires you to answer questions in narrative format, instead of just providing policies and procedures. But you can save yourself some time by copying text or using exhibits from many of the modules.
Where are the NC Required Items in my plans?
A very long, multi-section questionnaire makes this examination seem more daunting than it is.
Going through your materials and identifying what PA wants when they request documentation uploads
TX has one of the more transparent examination protocols. Read the Compliance Guide to prepare yourself. We can help with policies and procedures, as well as helping you stack your files. March 2024 - TX has transitioned to the State Examination System to manage questionnaires and submissions. Read our SES articles to understand this process.