HOUSE_OVERSIGHT_024131.jpg
2.32 MB
Extraction Summary
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People
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Organizations
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Locations
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Relationships
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Quotes
Document Information
Type:
Compliance manual / consultant report / government investigation exhibit
File Size:
2.32 MB
Summary
This document appears to be page 25 of a compliance manual or guide produced by the consulting firm Protiviti. It outlines the key components of an Anti-Money Laundering (AML) program, including risk assessments, customer acceptance (KYC), suspicious activity monitoring (SARs), and sanctions programs (OFAC). It also details how technology can support these AML functions, such as calculating risk ratings and searching against high-risk lists (PEPs). The document bears a 'HOUSE_OVERSIGHT' Bates stamp, indicating it was produced as evidence in a congressional investigation, likely related to financial institutions involved with Jeffrey Epstein, though Epstein is not named on this specific page.
Organizations (3)
| Name | Type | Context |
|---|---|---|
| Protiviti |
Logo appears in footer; likely the author of the compliance guidelines.
|
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| House Oversight Committee |
Bates stamp 'HOUSE_OVERSIGHT_024131' indicates this document was produced for a House Oversight investigation.
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| Office of Foreign Assets Control |
Referenced in relation to Sanctions Programs and searching special lists.
|
Key Quotes (2)
"35. How can technology be used to support a financial institution's AML program?"Source
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Quote #1
"It is important to note that not all types of financial institutions are required to have each of the key components listed above."Source
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Quote #2
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