Information
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Document No.
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Store Number and Name
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Conducted on
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Completed by: Ken Barnes
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Location
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Do employees know how to handle cash transactions greater than $10,000 (including fees)?
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Are CTR's complete and accurate for covered transactions?
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Are CTR's forwarded to division LP within 5 days?
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Has Store Manager completed the monthly check list for the previous reporting period? (6 or 12 months)
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Have Suspicious Activity Reports been completed for transactions that amount to $2,000 or more AND suspicious?
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Is the store in HIDTA/HIFCA area?
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Are there new responsible employees who were hired since the previous period?
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Have all new responsible employees hired since previous period completed compliance training modules?
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Is the money order log available, complete and accurate for all covered sales?
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Is the Current AML program available?
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Description of any deficiencies with actions taken or comments:
