The Ultimate Regulatory Compliance Checklist
The Ultimate Regulatory Compliance Checklist
December 20, 2017

Update Your Compliance Programs

As a new year approaches, a full year of rules and regulations has passed and that means it is time to update your BSA/AML program. In doing so, we want to share our ultimate regulatory compliance checklist to help get you on the right track.

Our team of CAMS consultants work closely with auditors all year long. They have compiled a list of items that need to be updated annually, at minimum.  


Renew Permits & Licenses


  • Independent Review
  • Risk Assessment
  • Gap Analysis
  • NEW or Annual Existing Employee Training
  • New or Discontinued Money Services
  • Changes in Check Cashing Fees
  • Updated Corporate Check Cashing Policies
  • Changes to Service Providers
  • Updated Agent Verification Letters

CFPB Readiness

  • CMS Independent Review
  • Updated Collection Processes
  • Changes in Ownership/Management Structure
  • Lender Specific Training
  • Complaint & Vendor Management Processes


If you would like assistance with keeping your BSA/AML program updated, contact us.

(855) 922-4325

About the Author

Julie Sepulveda
Marketing Coordinator

I have a love for design, organization and family.

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