Checklist: Being prepared for a visit by a financial regulator (USA)

Updated as of: 12 July 2023
This checklist will assist in-house counsel, compliance teams, and private practitioners responsible for ensuring a financial institution’s compliance with money laundering (ML) and terrorist financing (TF) laws and regulations under The Currency and Foreign Transactions Reporting Act of 1970 (commonly referred to as the Bank Secrecy Act (BSA)), as amended by the USA Patriot Act of 2001, and related anti-money laundering (AML) laws and regulations.