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Bank Secrecy Act / Anti-Money Laundering Resources

• FinCEN Guidance on Regulations Requiring Special Due Diligence Programs for Certain Foreign Accounts to the Securities and Futures Industries (May 10, 2006)
• FinCEN Release on the final rule requiring mutual funds to report suspicious activities (May 3, 2006)
• FinCEN Interagency Guidance on Sharing Suspicious Activity Reports with Head Offices and Controlling Companies (January 20, 2006)
• FinCEN Guidance on Sharing Suspicious Activity Reports by Securities Broker-Dealers, Futures Commission Merchants, and Introducing Brokers in Commodities (January 20, 2006)
• Treasury Interagency Guidance on Sharing Suspicious Activity Reports with Head Offices and Controlling Companies (January 20, 2006)
• OCC 2005-45a: Process for Taking Administrative Enforcement Actions Against Banks Based on BSA Violations (December 2005)
• Financial Crimes Enforcement Network Assessment of Civil Money Penalties to Oppenheimer (December 29, 2005)
• New York Stock Exchange Regulation Press Release announcing censure and fines for Oppenheimer (December 29, 2005)
• Joint Press Release announcing bank supervisory and penalty actions against ABN AMRO (December 19, 2005)
• OCC Consent Decree against KeyBank (October 17, 2005)
• Testimony of Bradley E. Rock to House Financial Institutions and Consumer Credit Subcommittee (May 26, 2005)
• Testimony of John Byrne to House Financial Services Oversight and Investigations Subcommittee Regarding Suspicious Activity Reporting and Money Services Businesses (May 26, 2005)
• CIP Interagency Interpretive Guidance (April 28, 2005)
• Response from Federal Reserve, FDIC, FinCEN, OCC, and OTS to ABA and State Banking Association Letter on BSA/AML (January 10, 2005)
• ABA and State Banking Association Letter on BSA/AML (January 10, 2005)
• NASD Guidance on Anti-Money Laundering Programs (April 15, 2002)
• Patriot Act Compliance: ABA Letter to FinCen on Information Sharing (April 2, 2002)
• Anti-Money Laundering Legislation (November 15, 2001)

Questions? Contact Richard Riese for more information.