Sec. 504.7. Attachment A

_____________________

(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:

(1) The board of directors (or name of senior officer[s]) has reviewed documents, reports, certifications and opinions of such officers, employees, representatives, outside vendors and other individuals or entities as necessary to adopt this board resolution or senior officer compliance finding;

(2) The board of directors or senior officer(s) has taken all steps necessary to confirm that (name of regulated institution) has a Transaction Monitoring and Filtering Program that complies with the provisions of section 504.3 of this Part; and

(3) To the best of the (board of directors) or (name of senior officer[s]) knowledge, the Transaction Monitoring and the Filtering Program of (name of regulated institution) as of ______ (date of the board resolution or senior officer(s) compliance finding) for the year ended ___ (year for which board resolution or compliance finding is provided) complies with section 504.3 of this Part.

Signed by each member of the board of directors or senior officer(s)(Name)__________ Date: