_____________________
(Regulated Institution Name)
APRIL 15, 20___
Annual Board Resolution or Senior Officer(s) Compliance Finding For Bank Secrecy Act/Anti-Money Laundering and Office of Foreign Asset Control Transaction Monitoring and Filtering Program
Whereas, in compliance with the requirements of the New York State Department of Financial Services (the department) that each Regulated Institution maintain Transaction Monitoring and Filtering Program in compliance with section 504.3 of this Part; and
Whereas, section 504.4 of this Part requires that the board of directors or a senior officer(s), as appropriate, adopt and submit to the superintendent a board resolution or senior officer compliance finding confirming its or such individual's findings that the regulated institution is in compliance with section 504.3 of this Part;
NOW, THEREFORE, the board of directors or senior officer certifies:
Signed by each member of the board of directors or senior officer(s)(Name)__________ Date:
N.Y. Comp. Codes R. & Regs. Tit. 3 § 504.7