Filing a Money Laundering/Sanctions Case with the Department of Treasury

This comprehensive program examines the whistleblower protection framework under the Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) regulations. The course provides detailed guidance on filing Tips, Complaints, and Referrals (TCRs) with the Financial Crimes Enforcement Network (FinCEN), while exploring the evolving landscape of sanctions enforcement through the Office of Foreign Assets Control (OFAC). Through analysis of recent enforcement actions and settlement trends, participants will gain practical insights into effective whistleblower reporting strategies.

Designed for attorneys, compliance professionals, and financial industry counsel, this program offers essential guidance on identifying reportable violations and navigating the complex regulatory framework of BSA/AML compliance. Participants will learn about recent legislative developments, including the Anti-Money Laundering Whistleblower Improvement Act of 2022, and their impact on whistleblower protections and awards.

The program includes detailed case studies of major enforcement actions, including notable cases involving financial institutions such as Binance, HSBC, and JPMorgan Chase, providing practical context for understanding regulatory priorities and enforcement trends.

Learning Objectives:

1. Implement effective procedures for preparing and submitting TCRs to FinCEN, including proper documentation and evidence gathering
2. Analyze the scope of protected activities and available remedies under BSA/AML whistleblower provisions, including anti-retaliation protections
3. Evaluate potential whistleblower claims through examination of recent enforcement actions and regulatory guidance
4. Apply best practices for managing confidentiality requirements while maximizing potential whistleblower awards under the updated statutory framework