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PrintNovember 8, 2011
To update, change, add, or delete your financial institution’s point of contact information on FinCEN’s distribution list for receiving Section 314(a) Information Requests, you must contact your primary federal supervisory agency. Financial Institutions subject to supervision by either the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, or the Office of the Comptroller of the Currency should provide information for Section 314(a) points-of-contact on the institution's quarterly Call Report. Savings associations formerly supervised by the Office of Thrift Supervision should continue to provide this information on the institution’s quarterly Thrift Financial Report until they begin filing Call Reports in March 2012. Credit unions subject to supervision by the National Credit Union Administration should update their 314(a) points of contact (POCs) in the on-line credit union profile on the Contacts Tab.
The following items must be provided to update or add your financial institution’s POC information: financial institution name and charter number or other identifier; point of contact name and title, mailing (street number, P.O. Box, city, state and zip code) and e-mail addresses; and telephone and facsimile numbers.
Please find your institution’s primary federal regulator or self regulatory organization in the below list and forward the above information to them.
Board of Governors of the Federal Reserve System
For Point of Contact Changes or Additions:
e-mail: patriotact@frb.gov or
fax: (202) 736-5641
For Questions:
telephone: Cheryl Paret, Senior Financial Analyst at (202) 452-3675 or Jennifer White, Senior Financial Analyst at (202) 452-3964
Commodity Futures Trading Commission
Contact information:
E-mail: AMLstaff@cftc.gov
Fax: (202) 418-5528
Questions: Helene D. Schroeder, Special Counsel, Division of Clearing and Intermediary Oversight at (202) 418-5424
Federal Deposit Insurance Corporation
Contact information:
All changes must be made by the bank through the quarterly Call Report or by filing an amended Call Report
(800) 688-FDIC; (800)688-3342
E-mail: insurance-research@fdic.gov
Fax: (202) 898-3627
Questions: Anti-Money Laundering Section at (202) 898-6783
E-mail: fdicadvisory@fdic.gov
Financial Industry Regulatory Authority
Contact information:
For changing POCs or adding a new contact, a FINRA member must update its Anti-Money Laundering Compliance Contacts through the FINRA Contact System at the link below. Each Anti-Money Laundering Compliance Contact (Primary and Alternate) will be added to the FinCEN distribution list.
https://finra.org/fcs
Questions: Gateway Call Center at (301) 869-6699
National Credit Union Administration
Contact information:
All changes must be made in the online credit union profile by updating the Primary and Secondary Patriot Act contact on the Contacts Tab. Manual filing federal credit unions should contact their NCUA district examiner to update this information. Manual filing state credit unions should contact their state regulator to have this information updated.
Questions - Federal Credit Unions:
Contact your NCUA district examiner. If you cannot locate your examiner, contact the NCUA regional office that oversees your state. NCUA regional office contact information is posted on the NCUA Website http://www.ncua.gov/. From the NCUA home page, select Contact Us and scroll to the bottom of the page. Email and telephone contact information is shown for each region. A direct link follows:
http://www.ncua.gov/about/pages/Contact.aspx. If you are unsure which region supervises your state, click on the region's name and a list of supervised states will be shown.
Questions - State Chartered Credit Unions: Contact your state regulator.
National Futures Association:
Contact Information:
E-mail: AML@nfa.futures.org
Fax: (312)559-3419
Questions: Valerie Kretschmer, Compliance Department at (312)781-1290
Office of the Comptroller of the Currency
All changes must be made through the quarterly Call Report or by filing an amended Call Report.
Fax: (202) 874-5301
Additional Information: OCC Alert 2004-6
http://www.occ.gov/static/news-issuances/alerts/2004/alert-2004-6.pdf
Questions: James F. Vivenzio, Senior Counsel for BSA/AML at (202) 874-5200.
Savings Associations supervised by the Federal Deposit Insurance Corporation or Comptroller of the Currency (formerly supervised by the Office of Thrift Supervision)
All FinCEN Point of Contact changes must be made using the EFS (the OTS Electronic Filing Software).
EFS Instructions: "314(a) Contact Updates":
http://www.ots.treas.gov/docs/4/480177.pdf
To e-mail questions about point of contact changes or additions, the OTS mailbox will remain active: Mail to:usap.contact@ots.treas.gov