The AML Monitoring and Filtering (NYDFS 23 NYCRR 504) Playbook addresses the following areas:

• Transaction Monitoring Program Requirements
• Transaction Filtering Program Requirements
• Transaction Monitoring and Filtering Program
• Remediation
• Annual Board Resolution or Senior Officer(s) Compliance Finding, and
• Information Sharing – USA PATRIOT Act Section 314

Can I adapt my own compliance materials into a smart Template?

Yes. If you already have compliance materials of your own, you can integrate them into a smart Compliance Template using the included development template. This allows you to supplement NORVA’s Compliance Assessment Templates with your own content while keeping the same practical, structured approach. 

Is my data private and secure?

Yes. All templates are encrypted to protect the privacy and confidentiality of your data. NORVA Solutions does not have visibility into any data you enter in your downloaded template.