Finance · Compliance & Regulatory
OFAC screening guides
An internal guide explaining how staff check customers and transactions against government sanctions lists and what to do with hits.
What it usually contains
- Which lists are screened and how often
- Steps for reviewing and clearing potential name matches
- Rules for escalating and blocking or rejecting transactions
- Reporting and recordkeeping deadlines for blocked property
- Roles, approvals, and staff training expectations
What the assistant uses it for
Use to answer how a possible sanctions match should be investigated, escalated, and documented, and who must sign off. Also covers when funds must be frozen and what must be reported to regulators and by when.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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