SPECIAL BANKERS COMPLIANCE SERVICES

BSA COMPLIANCE PLAN – We are now monitoring significant institutional Regulatory Enforcement Actions for BSA Compliance Plan violations.  These include Anti-Money Laundering (AML), Bank Secrecy Act (BSA), Currency Transaction Reports (CTR), Office of Foreign Asset Control (OFAC) and Suspicious Activity Reports (SAR).  As a subscription client, we can provide you with an update of these violations for each institution on your list, should they be issued an Enforcement Action with any of these violations. The violation summary we send, for each of your institutions that are affected, will be billed at $25 per institution. Please see a sample, on the reverse side (Ex. A), of the information that will be emailed.  The email will contain a PRN file attached for easy loading into any spreadsheet application.

AUTOMATED NOTIFICATION OF DOWNRATED INSTITUTIONS (ANDI) – Based on VERIBANC®’s nearly continuous monitoring of regulatory enforcement actions against financial institutions, we may downrate a bank, thrift or credit union any time a serious sanction is promulgated - - even if the regulatory action occurs before we receive our next routine quarterly financial information update.  As a subscription client, you may wish to take advantage of our rapid reaction capability.  We will track all of the institutions included in your subscription report(s) or data set(s) upon request.  If, between regular quarterly updates, any of your institutions have their VERIBANC risk ratings lowered, we will immediately alert you, via email.  The enforcement action summary we send, for each of your institutions that are affected, will be billed at $25 per institution.  In short, there is no charge for the between-quarter monitoring of your institutions unless one or more of them receives a rating downgrade. Please note that there is no cost to sign up.  You will be billed $25.00 per institution for any institution on your list that is downrated.  Please see a sample, on the reverse side (Ex. B), of the information that will be emailed.

If you have any questions, please feel free to contact us at: 800-442-2657

REQUEST FOR BSA/ANDI SERVICES

Name:      Date:

Phone Number:      Email:

Bank's Name:

Address:

City:    State:   Zipcode:

I would like to order the following:        BSA Compliance Plan          ANDI

Yes, I understand there is no charge for monitoring my list of institutions.  However, I will be charged $25 per institution that is downrated or has a compliance violation when I am notified.