1. (a) Provide a copy of the applicant's Money Services Business registration with Financial Crimes Enforcement Network.
2. (b) Provide a copy of the latest risk assessment of the applicant.
3. (c) Provide a copy of the applicant's BSA/USA Patriot Act compliance manual.
4. (d) In case the applicant is a corporation, provide a copy of the resolution of the board of the applicant designating the BSA compliance officer. In case the applicant is a limited liability company, provide a copy of the designation the BSA compliance officer in accordance with the operating agreement.
5. (e) Provide a copy of the training materials and documentation of training for the board, managers and members or, in the case of a limited liability company, officers and employees of the applicant.
6. (f) Provide copy of the latest independent review of the applicant's BSA/USA Patriot Act compliance program and the response to the review by the applicant.
7. (g) Identify any bank(s) and bank services used by the applicant that may present a BSA risk due to the types of products or services offered and describe how the applicant will manage those identified risks.

Describe in detail how the applicant proposes to comply with the BSA/USA Patriot Act, including the following:

Note: Authority cited: Sections 321, 334 and 2032, Financial Code. Reference: Sections 2032 and 2123, Financial Code.

History

1. New section filed 8-11-2015; operative 10-1-2015 (Register 2015, No. 33).