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Today is: November 21, 2018  

Compliance Companion®
Standard Procedures Manuals (SPM)

General Banking Operations June 2016

Our BCG General Banking Operations Manual consists of three main parts. The text of the Manual is 595 pages, plus 104 pages of appendices.

Part One of SPM #9 details the requirements for obtaining taxpayer identification numbers, tax information reporting (1099-INT, 1099-MISC, 1099-1098 and lots more), the four different types of backup withholding, Foreign Account Tax Compliance Act (FATCA) and FATCA regulations, and IRS penalty assessments.

Part Two provides a detailed discussion of the Bank Secrecy Act and Anti-Money Laundering regulations, including BSA compliance program requirements, suspicious activity and currency transaction reporting, FinCEN’s electronic filing procedures, USA PATRIOT Act requirements and the BSA/AML Examination Manual.

Part Three discusses a wide variety of operations topics, including how to handle accounts and safe deposit boxes upon the death of a depositor, bankruptcy of a depositor, powers of attorney, California unclaimed property laws, safe deposit box operations, courier services, contests and sweepstakes, operations record retention schedule, automated overdraft program requirements and regulatory guidance, and California’s laws governing notaries public.


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