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  3. Bank Secrecy Act Regulations (Department of the Treasury, FinCEN)
  4. PART 1026

PART 1026—RULES FOR FUTURES COMMISSION MERCHANTS AND INTRODUCING BROKERS IN COMMODITIES

Subpart A—Definitions
Subpart B—Programs
  • Section
  • General
  • Anti-money laundering program requirements for futures commission merchants and introducing brokers in commodities
  • Customer identification programs for futures commission merchants and introducing brokers
Subpart C—Reports Required to Be Made by Futures Commission Merchants and Introducing Brokers in Commodities
  • Section
  • General
  • Reports of transactions in currency
  • Filing obligations
  • Identification required
  • Aggregation
  • Structured transactions
  • Exemptions
  • Reports by futures commission merchants and introducing brokers in commodities of suspicious transactions
Subpart D—Records Required to Be Maintained by Futures Commission Merchants and Introducing Brokers in Commodities
Subpart E—Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity
  • Section
  • General
  • 1026.520 
    
 Special information sharing
procedures to deter money laundering and terrorist activity for futures
commission merchants and introducing brokers in commodities
    • 


  • 

    
 [Reserved]
    • 


  • 

    
 Voluntary information sharing
among financial institutions
    • 



 
Subpart F—Special Standards of Diligence; Prohibitions;
and Special Measures for Futures Commission Merchants and Introducing
Brokers in Commodities
 
    

  • Section
    • 


  • 

    
 General
    • 


  • 

    
 Due diligence programs
for correspondent accounts for foreign financial institutions
    • 


  • 

    
 Due diligence programs
for private banking accounts
    • 


  • 

    
 Prohibition on correspondent
accounts for foreign shell banks; records concerning owners of foreign
banks and agents for service of legal process
    • 


  • 1026.640 
    
 [Reserved]
    • 


  • 

    
 Summons or subpoena of
foreign bank records; termination of correspondent relationship
    • 



 
AUTHORITY:
12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314 and 5316-5332;
title III, section 314, Pub. L. 107-56, 115 Stat. 307; section 701,
Pub. L. 114-74, 129 Stat. 599.



    



                                

    

            

        

        
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