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OCC BSA/AML Bulletins, FinCEN Advisories, and Related BASEL Information

The OCC and FinCEN periodically issue bulletins and advisories to ensure consistency in the application of the BSA/AML requirements. The Basel Committee on Banking Supervision provides a forum for regular cooperation on banking supervisory matters. Below are bulletins issued by the OCC and links to FinCEN and The Basel Committee on Banking Supervision.


OCC BSA/AML Bulletins 




Publish DateIdentifierTitle
12/17/2013  OCC 2013-39, Social Media: Consumer Compliance Risk Management Guidance: Final Supervisory Guidance
09/28/2012  OCC 2012-30, BSA/AML Compliance Examinations: Consideration of Findings in Uniform Rating and Risk Assessment Systems
03/24/2011  OCC 2011-9, Bank Secrecy Act/Anti-Money Laundering: Guidance on Accepting Accounts From Foreign Embassies, Consulates and Missions
03/03/2011  OCC 2011-8, Bank Secrecy Act/Anti-Money Laundering: Interagency Statement on Reorganization of Bank Secrecy Act Regulations
02/23/2011  OCC 2011-7, Bank Secrecy Act/Anti-money Laundering: Spanish Translation of the 2010 Bank Secrecy Act/Anti-Money Laundering Examination Manual
12/16/2010  OCC 2010-43, Suspicious Activity Reports (SARs): Final Rules
08/19/2010  OCC 2010-31, BSA/AML: Update on the Continuing Illicit Finance Threat Emanating from Iran
07/22/2010  OCC 2010-28, Regulations Imposing Restrictions on Mexican Banks for Transactions in U.S. Currency
06/15/2010  OCC 2010-21, Bank Secrecy Act/Anti-Money Laundering: Notification on the Release of the Revised BSA/AML Examination Manual
03/05/2010  OCC 2010-11, Bank Secrecy Act/Anti-Money Laundering: Beneficial Ownership Guidance
12/17/2009  OCC 2009-36, Bank Secrecy Act/Anti-Money Laundering: Cover Payments Guidance
04/23/2009  OCC 2009-12, Bank Secrecy Act/Anti-Money Laundering: FinCEN Guidance to Financial Institutions on Filing Suspicious Activity Reports regarding Loan Modification/Foreclosure Rescue Scams
01/15/2009  OCC 2009-5, Bank Secrecy Act/Anti-Money Laundering: Final Rule on Currency Transaction Reporting Exemptions
05/01/2008  OCC 2008-15, Bank Secrecy Act/Anti-Money Laundering: Guidance to Financial Institutions on the Money Laundering Threat Involving the Republic of Uzbekistan
05/01/2008  OCC 2008-14, Bank Secrecy Act/Anti-Money Laundering: Guidance to Financial Institutions on the Money Laundering Threat Involving the Turkish Cypriot-Administered Area of Cyprus
05/01/2008  OCC 2008-13, Bank Secrecy Act/Anti-Money Laundering: Guidance to Financial Institutions on the Continuing Money Laundering Threat Involving Illicit Iranian Activity
04/24/2008  OCC 2008-12, Payment Processors: Risk Management Guidance
08/31/2007  OCC 2007-37, Bank Secrecy Act/Anti-Money Laundering: Requests by Law Enforcement for Financial Institutions to Maintain Accounts
08/30/2007  OCC 2007-36, Bank Secrecy Act/Anti-Money Laundering: BSA Enforcement Policy
08/30/2007  OCC 2007-35, Bank Secrecy Act/Anti-Money Laundering: 2007 National Money Laundering Strategy
08/30/2007  OCC 2007-34, Bank Secrecy Act/ Anti-Money Laundering: Suspicious Activity Report (SAR) Supporting Documentation
08/28/2007  OCC 2007-33, Bank Secrecy Act/Anti-Money Laundering: FinCEN; Final Rule for Section 312 of the USA PATRIOT Act; Enhanced Due Diligence for Correspondent Accounts Maintained by Certain Foreign Banks
05/17/2007  OCC 2007-17, Bank Secrecy Act/Anti-Money Laundering: Notification of Delay in the Implementation of Revised Suspicious Activity Report by Deposit Institutions (SAR-DI)
05/01/2007  OCC 2007-15, Imposition of Special Measures Against Banco Delta Asia, Including Its Subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited, as a Financial Institution of Primary Money Laundering Concern
03/14/2007  OCC 2007-12, Bank Secrecy Act/ Anti-Money Laundering: Notification of Revised Suspicious Activity Report by Depository Institutions (SAR-DI)
09/01/2006  OCC 2006-39, Automated Clearing House Activities: Risk Management Guidance
07/19/2006  OCC 2006-30, Bank Secrecy Act/Anti-Money Laundering: FinCEN Guidance to Financial Institutions on the Repatriation of Currency Smuggled into Mexico from the United States
05/10/2006  OCC 2006-23, Bank Secrecy Act/Anti-Money Laundering: FinCEN Guidance to Financial Institutions on Providing Financial Services to Belarusian Senior Regime Elements
04/13/2006  OCC 2006-19, Bank Secrecy Act/Anti-Money Laundering: Final Rule-Imposition of Special Measures Against the Commercial Bank of Syria including its subsidiary, the Syrian Lebanese Commercial Bank as a Financial Institution of Primary Money Laundering Concern
03/01/2006  OCC 2006-11, Bank Secrecy Act/Anti-Money Laundering: OFAC-Economic Sanctions Enforcement Procedures for Banking Institutions
02/28/2006  OCC 2006-10, Bank Secrecy Act/Anti-Money Laundering: Risk FinCEN; Final Rule and Proposed Rule for Special Due Diligence Programs for Certain Foreign Accounts
02/22/2006  OCC 2006-8, Bank Secrecy Act/Anti-Money Laundering: U.S. Money Laundering Threat Assessment
01/27/2006  OCC 2006-4, Bank Secrecy Act/Anti-Money Laundering: Joint Statement on Sharing Suspicious Activity Reports with Controlling Companies
01/27/2006  OCC 2006-3, Bank Secrecy Act/Anti-Money Laundering: Advisory warns financial institutions of North Korean front companies: FinCEN guidance
12/23/2005  OCC 2005-45, Bank Secrecy Act/Anti-Money Laundering: Process for Taking Administrative Enforcement Actions Against Banks Based on BSA Violations
05/06/2005  OCC 2005-19, Bank Secrecy Act/Anti-Money Laundering: Interagency Interpretive Guidance on Providing Banking Services to Money Services Businesses Operating in the United States
04/28/2005  OCC 2005-16, Bank Secrecy Act/ Anti-Money Laundering: Frequently Asked Questions (updated): Final Customer Identification Program Rule
04/25/2005  OCC 2005-15, Bank Secrecy Act/Anti-Money Laundering: Joint Statement on Providing Banking Services to Money Services Businesses
09/22/2004  OCC 2004-45, Bank Secrecy Act/Anti-Money Laundering: Proposed Rules Imposing Special Measures Against Infobank and First Merchant Bank OSH Ltd—Determined to be Financial Institutions of Primary Money Laundering Concern
06/16/2004  OCC 2004-26, Certain Foreign Accounts: Interagency Advisory - Guidance on Accepting Accounts from Foreign Governments, Foreign Embassies and Foreign Political Figures
05/26/2004  OCC 2004-24, Suspicious Activity Reporting: Interagency Advisory-Federal Court Reaffirms Protections for Financial Institutions Filing Suspicious Activity Reports
05/05/2004  OCC 2004-18, Bank Secrecy Act/Anti-Money Laundering: Final Rules-Imposition of Special Measures Against Burma, Myanmar Mayflower Bank, and Asia Wealth Bank
01/02/2004  OCC 2004-1, Bank Secrecy Act/Anti-Money Laundering (BSA/AML): Notice of Expiration of Conditional Exception to BSA Regulations Related to Order for Transmittals of Funds by Financial Institutions
12/18/2003  OCC 2003-48, Bank Secrecy Act/Anti-Money Laundering: Revised CTR Form
06/24/2003  OCC 2003-27, Suspicious Activity Report: Revised Form
06/03/2003  OCC 2003-22, Bank Secrecy Act/Anti-Money Laundering (BSA/AML): Final Rule–Customer Identification Programs for Banks, Savings Associations, and Credit Unions
05/20/2003  OCC 2003-17, Bank Secrecy Act/Anti-Money Laundering: Revocation of Designation of Ukraine as Primary Money–Laundering Concern; Proposed Rule Imposing Special Measures Against the Country of Nauru
03/11/2003  OCC 2003-10, Office of Foreign Assets Control: Final Rules Governing Availability of Information
01/22/2003  OCC 2003-3, Bank Secrecy Act/Anti-Money Laundering: Final Rule — Anti-Money–Laundering Requirements for Foreign Correspondent Banks
12/26/2002  OCC 2002-47, Bank Secrecy Act/Anti-Money Laundering: Notice of Designation – Designation of Nauru and Ukraine as Primary Money Laundering Concerns
11/14/2002  OCC 2002-42, Bank Secrecy Act/Anti-Money Laundering: Final Rule – Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity
10/16/2002  OCC 2002-41, Bank Secrecy Act/Anti-Money Laundering: Final Rule – Anti-Money- Laundering Requirements for Foreign Correspondent Banks
02/20/2001  OCC 2001-9, Bank Secrecy Act/Anti-Money-Laundering: Guidance on Foreign Official Corruption
02/07/2001  OCC 2001-7, Anti-Money-Laundering Guidance: Basel Committee Consultative Paper

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FinCen Advisories 

Guidance from the Financial Crimes Enforcement Network (FinCEN).

Basel Committee on Banking Supervision 

Guidance from the Basel Committee on Banking Supervision.