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Industry Oversight
  

        
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                        Anti-Money Laundering Anti-Money Laundering

  
The Bank Secrecy Act (BSA), as amended by the Patriot Act, is designed to prevent, detect, and prosecute international money laundering and the financing of terrorism. The BSA and related regulations require futures commission merchants (FCMs) and introducing brokers (IBs) to establish anti-money laundering (AML) programs, report suspicious activity, verify the identity of customers and apply enhanced due diligence to certain types of accounts involving foreign persons. In the future, it is possible that commodity pool operators (CPOs), commodity trading advisors (CTAs), swap dealers (SDs), major swap participants (MSPs), and other CFTC registrants may be required to comply with anti-money laundering regulations. However, it should be noted that CPOs, CTAs, SDs, MSPs, and RFEDs have certain AML-related reporting obligations under the existing currency transactions reporting regulations, foreign bank and financial account reporting regulations and international transportation of currency or monetary instrument regulations. They also have obligations under the sanctions programs that target jurisdictions or individuals and further U.S. foreign and domestic policies.

Below is a general outline of important AML topics with links to general information and resources. In addition, links to the AML webpages for the National Futures Association (NFA), Financial Crimes Enforcement Network (FinCEN), Office of Foreign Assets and Control (OFAC), FINRA, and SEC are included in the right margin.

SAR Alert Message Line
	AML Programs
	Suspicious Activity Reporting
	Customer Identification Programs
	Due Diligence Measures for Certain Types of Accounts involving Foreign Persons
	Special Measures
	Jurisdictions Identified by the Financial Action Task Force
	Currency Transaction Reporting
	Foreign Bank and Financial Accounts Reporting
	International Transportation of Currency or Monetary Instruments Reporting
	Information Sharing among Financial Institutions and Law Enforcement
	Sanctions Programs
	Additional ResourcesPlease forward any comments to [email protected] Industry Oversight
  

        
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 RELATED LINKS
    

      NFA AML
          FinCEN
          OFAC
          FINRA AML
          SEC AML


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