CO-SPONSORED BY THE MISSOURI INDEPENDENT BANKERS ASSOCIATION
ELIMINATE CONFUSION ABOUT RECENT REGULATORY CHANGES...HELP AVOID REGULATORY CRITICISM...
AND FULFILL FEDERAL BSA TRAINING REQUIREMENTS BY ATTENDING...
2009 ANTI-MONEY LAUNDERING AND
BANK SECRECY ACT COMPLIANCE SEMINAR
A Complete Regulatory Update Including:
Revised Examination Procedures – Latest Update • Risk Assessments
CTR Exemptions – New Procedures (expected to be released)
Suspicious Activity Report (SAR) – New Form (expected utilization) • Customer/Member Due Diligence – “High-Risk” Clients
Funds Transfer Recordkeeping – New Recordkeeping and Reporting (anticipated) • OFAC Compliance, and more.
Recent Congressional focus and well-publi- Currency Transaction Reporting (CTR) exemp- TOPICS
cized BSA enforcement actions and fines con- tions are covered in detail. The new (expect- • Revised Examination Procedures –
tinue to support a climate where BSA compli- ed to be utilized) Suspicious Activity Report Latest Updates
ance remains of paramount importance to all (SAR) form and most recent guidance from • Risk Assessments
financial institutions. Treasury continues to Treasury on proper SAR completion are dis- • CTR Exemptions – New Procedures
rely on financial institutions to serve as the cussed. The increasing importance of (expected to be released)
“front-line gatekeepers” for law enforcement Customer/Member Due Diligence standards • Suspicious Activity Report (SAR) –
efforts to safeguard the U.S. financial system and “High-Risk” client monitoring are Revised Form (expected utilization)
from the abuses of financial crimes, including reviewed. The (anticipated) changes to the • Customer/Member Due Diligence –
money laundering and terrorist financing. The “Funds Transfer” recordkeeping and new “High-Risk” Clients
federal regulatory agencies continue to rely reporting requirements are identified. The • Funds Transfer Recordkeeping – New
on financial institutions to take “every rea- interagency Guidelines on account manage- recordkeeping and reporting (anticipated)
sonable step” to identify, minimize, and man- ment and due diligence expectations for • Interagency Guidelines –
age any risks that illicit financial activity may Money Services Businesses (MSB) are high- MSBs and due-diligence expectations
pose to the individual institution and to the lighted. The regulations affecting financial • OFAC Compliance
industry. Ongoing initiatives by the Financial institutions from the Office of Foreign Asset • Money Laundering Techniques and
Crimes Enforcement Network (FinCEN), the Control (OFAC) are discussed. Suspicious Suspicious Transactions
continually evolving issues from the USA transactions, terrorist financing, and other
PATRIOT Act, and the continued expansions in money laundering techniques are also Documentation covering:
the federal examination procedures reinforce reviewed. • Currency Transaction Reporting –
the need to have a strong BSA program at FinCEN Form 104
your institution. This full-day seminar covers Currency Transaction Reporting (CTR) require- • Foreign Correspondent Bank and
in detail the major issues and opportunities ments, foreign correspondent bank account Private Banking EDD
in the ever-expanding environment of the management, private banking account man- • SAR for Insurance Affiliates
Bank Secrecy Act. agement, the SAR reporting requirements for • Record Retention Requirements
insurance affiliates, record retention require- • Information Sources
This seminar highlights the increased federal ments, and the evolution of BSA are docu-
expectations for BSA. The impacts to finan- mented in detail. This seminar assists finan- The Manual
cial institutions from the annual expansions cial institutions in meeting the annual train- Attendees receive a detailed seminar manual
to the revised examination procedures are ing requirements imposed by the BSA regula- with narrative explanations of regulatory
identified. Institutional risk assessment is tions, and provides attendees with the oppor- requirements and examination procedures.
reviewed, and one methodology to complete tunity to network with other professionals The manual is an excellent resource for future
such a process is highlighted. The new interested in BSA compliance. reference.
(expected to be released) procedures on
REGISTRATION FEES DATES & LOCATIONS
$290.00 for each Includes lunch, cof- January 20 January 21 January 22
attendee. fee breaks and all Embassy Suites Hotel University Plaza Hotel Hilton St. Louis Airport
SAVE on every course materials. Airport 333 John Q. Hammons 10330 Natural Bridge Road
Breakfast and park- 7640 NW Tiffany Parkway
attendee. St. Louis, MO
ing are on your own. Springs Parkway Springfield, MO 314-426-5500
(Normal Kansas City, MO 417-864-7333
fee is $335.)
These programs are presented by Professional Bank Services, Inc. in conjunction
with the Missouri Independent Bankers Association.
SEVEN REASONS YOU SHOULD WHO SHOULD ATTEND PROFESSIONAL BANK SERVICES, INC. (PBS)
REGISTER TODAY This program is designed for personnel who is a consulting firm that presents targeted
1. Our comprehensive seminar manual. You’ll have management-level responsibilities for BSA training programs to address knowledge and
return to this easy-to-understand reference compliance. Individuals with retail banking, risk compliance performance gaps common among
again and again. management, compliance, audit, operational, financial institutions.
2. Free follow-up support for one year. corporate banking and training responsibilities
Call our support hotline with questions and will benefit from this program. No advance PBS knows first-hand what regulators look for –
help implement your new knowledge. preparation is required. we helped to develop the materials and presen-
3. Earn continuing education credits tations for the FDIC’s Compliance Assessment
6 CPE and 6.75 CRCM credits. AGENDA Review Course for senior examiners and its
4. Network with your peers for brainstorming Registration 8:30 am Introduction to the Compliance Examination
and suggestions about your institution’s Program 9:00 am - 4:00 pm School. PBS also consulted with the OTS to help
compliance policies. Lunch 12:00 noon design and present its Level I Compliance
5. Instruction by a leading BSA expert. All times are local at seminar site. School.
We trained more than 10,000 professionals
last year. CANCELLATION POLICY We use this knowledge to create high-impact
6. The answers you need to comply with If you cancel seven days before the seminar compliance programs. Our seminars are taught
recent regulation changes. date, we grant full refunds. If you cancel later, by subject matter experts.
7. Your satisfaction is guaranteed. Attend the but prior to the date of the seminar, we impose
seminar until the morning break. If you a $50 cancellation fee. If PBS cancels a seminar
don’t think the seminar lives up to its for any reason we refund all fees paid. To can-
promises, return your materials to the regis- cel, call our office at 800/523-4778, ext. 205 or
tration table and we’ll refund your registra- 239. For more information regarding adminis-
tion fee…no questions asked! trative policies such as complaint and refund,
please contact our offices at 800 523-4778.
ADDITIONAL SEMINAR INFO
CE CREDITS: MAIL TO: CHARGE PAYMENTS ONLY: SUGGESTED DRESS:
Eligible for 6 CPE and 6.75 Education Division FAX 502-451-6755 Meeting Room temperatures are
CRCM credits. Professional Bank Services, Inc. PHONE 800-523-4778, EXT. 747 often difficult to control.
Suite 305 WEB www.probank.com Please dress for comfort.
MAKE CHECK PAYABLE TO: 6200 Dutchman’s Lane Enter Promotion Code: Business casual dress is appro-
Professional Bank Services, Inc. Louisville, KY 40205-3309 BSAMIB09 priate for all PBS seminars.
2009 ANTI-MONEY LAUNDERING AND BANK SECRECY ACT COMPLIANCE SEMINAR
MISSOURI INDEPENDENT BANKERS ASSOCIATION
INSTITUTION INFORMATION ATTENDEE NAMES & EMAIL ADDRESSES
FINANCIAL INSTITUTION ATTENDEE #1 EMAIL ADDRESS $290
ADDRESS ATTENDEE #2 EMAIL ADDRESS $290
CITY ATTENDEE #3 EMAIL ADDRESS $290
STATE, ZIP ATTENDEE #4 EMAIL ADDRESS $290
ROUTING/MICR NUMBER ATTENDEE #5 EMAIL ADDRESS $290
TELEPHONE FAX ATTENDEE #6 EMAIL ADDRESS $290
I / WE WILL ATTEND THE SEMINAR IN______________________________ ON ____________________ TOTAL REGISTRATION FEES: $_____________________
CITY PROGRAM DATE PAYMENT MUST ACCOMPANY REGISTRATION. THANK YOU.
PAYMENT INFORMATION ❑ PAYMENT BY CHECK ENCLOSED ❑ CHARGE MY: ❑ MASTERCARD ❑ VISA ❑ DISCOVER PLEASE PRINT CLEARLY
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