Anti-Money Laundering

Regulations & Exam Manuals


Relevant Laws:

FFIEC is a formal interagency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions. For BSA Exams Click Below
FFIEC BSA Manual
SEC research guide, or “source tool,” is a compilation of key AML laws, rules, orders, and guidance applicable to broker-dealers. Several statutory and regulatory provisions, and related rules of the securities self-regulatory organizations (SROs), impose AML obligations on broker-dealers.
SEC AML Guide
Agencies


FinCEN’s mission is to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence and strategic use of financial authorities.
FINCEN
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry. For FINRA AML Resource:
FINRA

The mission of the Commodity Futures Trading Commission (CFTC) is to protect market participants and the public from fraud, manipulation, abusive practices and systemic risk related to derivatives – both futures and swaps – and to foster transparent, open, competitive and financially sound markets. For CFTC AML Resource:
CFTC


The OCC is an independent bureau of the U.S. Department of the Treasury whose primary mission is to charter, regulate, and supervise all national banks and federal savings associations. We also supervise the federal branches and agencies of foreign banks. AML/CFT/Sanctions compliance falls under OOC’s goal in supervising banks and federal savings associations is to ensure that they operate in a safe and sound manner.
OCC AML
The Asset Forfeiture and Money Laundering Section (AFMLS) leads the Department’s asset forfeiture and anti-money laundering enforcement efforts.
DOJ AFMLS