November 7, 2019

PDF Download : poc_change_314a.pdf

To update, change, add, or delete your financial institution’s 314(a) point of contact information, you must contact your primary federal supervisory agency.

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
In addition to providing 314(a) contact information on the quarterly Call Report, institutions regulated by the Federal Reserve must also provide point of contact changes or additions via email to patriotact@frb.gov
Questions: Cheryl Paret, Senior Financial Analyst at (202) 452-3675 or Jennifer White, Supervisory 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 Swap Dealer 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. Point of contact changes made through a Call Report amendment will generally be effective within two weeks. Changes made through the regular quarterly Call Report will be effective approximately six weeks after the report date due to the permissible filing timeline for banks, which in some cases is up to 35 days (e.g., 12/31/xx changes will be effective in mid-February).
Questions: Anti-Money Laundering Section at (202) 898-3673
E-mail: aml@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://firms.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 in NCUA’s CU Online
system by updating the Patriot Act contact on the Contacts Tab. Credit unions can access
CU Online at http://www.ncua.gov/DataApps/CUOnline/Pages/default.aspx.

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 Non-Federally Insured Credit Unions: Contact your state
regulator.

National Futures Association:
Contact Information:

E-mail: AML@nfa.futures.org
Fax: (312)559-3419
Questions: Valerie O’Malley, 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: (301) 333-7038
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) 649-5400.