Resources

Websites:

• Department of Justice (DOJ): https://www.justice.gov/ 

• Federal Financial Institution Exam Council (FFIEC) Exam Procedures (May 2018): https://www.ffiec.gov/press/pr051118.htm

• Financial Crimes Enforcement (FinCEN): https://www.fincen.gov/

• Office of the Comptroller of the Currency: https://www.occ.treas.gov/

• Office of Financial Assets Control (OFAC): https://www.treasury.gov/about/organizational-structure/offices/

• Security and Exchange Commission (SEC): https://www.sec.gov/

Printable PDFs:

• A Framework for OFAC Compliance Commitments: https://www.treasury.gov/resource-center/sanctions/Documents/framework_ofac_cc.pdf

• CDD Final Rule: https://www.govinfo.gov/content/pkg/FR-2016-05-11/pdf/2016-10567.pdf

• DOJ Evaluation of Corporate Compliance Programs Guidance Document (April 2019): https://www.justice.gov/criminal-fraud/page/file/937501/download