Problematic Practices
in BSA Audits
WEBINAR OR ON-DEMAND WEB LINK
(LINK INCLUDES FREE CD ROM)


Wednesday,
October 5, 2011

12:00 pm - 1:30 pm Pacific
1:00 pm - 2:30 pm Mountain
2:00 pm - 3:30 pm Central
3:00 pm - 4:30 pm Eastern

Meet the Presenter

Ann Brode, Brode Consulting Services, Inc.

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Some of the most-recent changes to the BSA exam guidelines focused on “BSA Audit and Identifying Problematic Practices.”  Examiners are requiring that your BSA audit focus on the “root cause” of violations and/or errors.

Audit is one of the four important pillars of your BSA program.  Examiners have stressed that if one pillar is weak, the program could be weak, and they may take enforcement action.  This session will focus on required steps for a strong BSA audit and the weaknesses examiners have identified during exams. 

HIGHLIGHTS100511cu.jpg

  • Areas where examiners have found weaknesses/problematic practices, including:
    • Systemic and recurring errors/violations
    • Patterns of errors
    • Isolated violations
    • Problematic practices
    • Failure to establish a sound method of communication and report to AML department – formally and informally
  • Key elements for a strong BSA audit
  • Sample executive summary format will be provided

WHO SHOULD ATTEND?

This informative session will benefit BSA officers, compliance officers, auditors, and audit committee members.