HOUSE_OVERSIGHT_024122.jpg
1.6 MB
Extraction Summary
0
People
22
Organizations
0
Locations
1
Events
2
Relationships
3
Quotes
Document Information
Type:
Regulatory compliance report / consulting report
File Size:
1.6 MB
Summary
This document is page 16 of a report prepared by the consulting firm Protiviti, submitted as part of a House Oversight Committee investigation (Bates stamp HOUSE_OVERSIGHT_024122). It lists and describes various regulatory resources, handbooks, and inter-agency tools used for Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) compliance. The page specifically details resources from the FFIEC, SEC, FINRA, and NCUA, as well as listing the federal agencies that contributed to the 2005 U.S. Money Laundering Threat Assessment.
Organizations (22)
| Name | Type | Context |
|---|---|---|
| Money Transmitter Regulators Association (MTRA) | ||
| Conference of State Bank Supervisors (CSBS) | ||
| FinCEN | ||
| NCUA | ||
| FFIEC | ||
| Federal Reserve | ||
| OCC | ||
| CFPB | ||
| FDIC | ||
| SEC | ||
| FINRA | ||
| Office of Terrorist Financing and Financial Crime (TFFC) | ||
| Financial Crimes Enforcement Network | ||
| Office of Intelligence and Analysis (OIA) | ||
| Office of Foreign Assets Control (OFAC) | ||
| Executive Office for Asset Forfeiture (TEOAF) | ||
| Internal Revenue Service (IRS) | ||
| Federal Bureau of Investigation (FBI) | ||
| Drug Enforcement Administration (DEA) | ||
| Asset Forfeiture Money Laundering Section (AFMLS) | ||
| Protiviti | ||
| House Oversight Committee |
Timeline (1 events)
2005
Publication of the U.S. Money Laundering Threat Assessment (MLTA)
USA
Relationships (2)
FFIEC
→
Collaborative Effort
→
Federal Reserve, OCC, NCUA, CFPB, FDIC
FFIEC Information Technology Examination Handbook – Developed through a collaborative effort of the Federal Reserve, the OCC, the NCUA, the CFPB and the FDIC
Footer indicates 'protiviti' and Bates stamp 'HOUSE_OVERSIGHT_024122'
Key Quotes (3)
"The IT Examination Handbook provides guidance on topics such as risks and suggested controls on third-party payment processors... and electronic payments."Source
HOUSE_OVERSIGHT_024122.jpg
Quote #1
"Anti-Money Laundering (AML) Source Tool for Broker-Dealers – Developed by the SEC to assist broker-dealers with fulfilling their responsibilities to establish an AML Compliance Program"Source
HOUSE_OVERSIGHT_024122.jpg
Quote #2
"Template for Small Firms – This template, available on FINRA’s website, is designed to assist small firms in fulfilling their responsibilities to establish an AML Compliance Program"Source
HOUSE_OVERSIGHT_024122.jpg
Quote #3
Discussion 0
No comments yet
Be the first to share your thoughts on this epstein document