The Bank Secrecy ACT: Information Sharing and Security Efforts
This book explores the Bank Secrecy Act (BSA), which is a legislative framework for combating money laundering. The Financial Crimes Enforcement Network (FinCEN) is responsible for the administration of the BSA regulatory structure, and has delegated examination responsibility to the federal banking regulators. This book describes how BSA compliance and enforcement responsibilities are distributed, how agencies other than FinCEN are implementing those responsibilities and the evaluation of their co-ordination efforts. This book also discusses security policies and controls for systems at three organisations to evaluate whether security controls effectively protect the confidentiality, integrity and availability of the information and systems that support FinCEN's mission. This book consists of public documents which have been located, gathered, combined, reformatted, and enhanced with a subject index, selectively edited and bound to provide easy access.
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access to BSA Accountability Ofﬁce addition AML program assessments audit Bank Secrecy Act broker-dealers BSA data BSA examination BSA violations BSA-related BSA/AML compliance BSA/AML examination BSA/AML-related CFTC compliance and enforcement conduct conﬁguration coordination Credit Union Crimes Enforcement Network criminal Currency transaction reporting deﬁciencies depository institutions developing discuss documentation ensure evaluate examination procedures FDIC federal agencies federal banking regulators Federal Reserve ﬁled ﬁling ﬁnalized Financial Crimes Enforcement ﬁnancial institutions FinCEN and IRS FinCEN ofﬁcials ﬁndings FINRA ﬁscal FISMA formal enforcement actions futures SROs guidance identiﬁed implementing improve industry information and systems information security program information systems information-sharing MOUs Intemal controls IRS ofﬁcials IRS referrals IRS’s issues law enforcement money laundering MSBs NBFIs NCUA NIST nonpublic Ofﬁce of Compliance recommendations regulatory requirements responsibilities risk SARs securities and futures signiﬁcant speciﬁc Supervision support FinCEN’s mission Suspicious activity reporting Treasury USA PATRIOT Act users