Bankers' Resources

IBAT's latest published resources.

• FinCEN Guidance: "Currency Transaction Report Aggregation for Business with Common Ownership (2012)"
• Notice to Customers: A CTR Reference Guide - English
• Notice to Customers: A CTR Reference Guide - Spanish
• FinCEN Guidance on Preparing a Complete and Sufficient SAR
• FinCEN Guidance on Filing CTR and SAR
• FFIEC BSA/AML InfoBase 
• IBAT Tools: SAR Narrative Tool
• IBAT Overview: Customer Due Diligence (CDD)
• IBAT Tools: Resources for Customer Due Diligence
• IBAT Overview: Suspicious Activity Reports (SAR(s))

Compliance Management System:

• Compliance Management Program – Regulators’ Concerns and Best Practices – Remarks from Shannon Phillips, Dallas Area Compliance Association, May 2014
• OCC: Compliance Management System (Comptroller’s Handbook)
• Federal Reserve: Community Bank Risk Focused Consumer Compliance Supervision Program
  • FedReserve: Consumer Affairs Letters" CA 13-19"
  • FedReserve: Outlook Live (3/6/2014)
  • FedReserve: Executive Summary (1/1/2014)
• FDIC:Compliance Management System
• FDIC: Compliance Exam Manual Guidance
• The Importance of the Consumer Compliance Internal Audit Function - Fed
• OCC: Comptroller's Handbook "Internal Controls", January 2001

Training:

• Resources for Bank Officers & Directors – FDIC
• OCC’s Community Bank Director Workshops - OCC

Third Party Relationships:

• Federal Reserve: SR 13-19/CA 13-21: Guidance on Managing Outsourcing Risk (12/5/2013) CA 13-21
• Guidance: FDIC: Effective Practices for Selecting a Service Provider - (2014)
• Guidance: FDIC: Techniques for Managing Multiple Service Providers - (2014)
• Guidance: OCC Bulletin 2013-29 Third Party Relationships: Risk Management Guide

UDAAP:

•  CFPB Bulletin 2013-07: Prohibition of Unfair, Deceptive, or Abusive Acts or Practices in the Collection of Consumer Debts

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