314(a) Information Sharing Request Form – Financial Institution Compliance Guide
314(a) Information Sharing Request Form – Financial Institution Compliance Guide is backordered and will ship as soon as it is back in stock.
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314(a) Information Sharing Request Form – Financial Institution Com...
Product Details
The 314(a) Information Sharing Request Form is a mandatory compliance mechanism used by the Financial Crimes Enforcement Network (FinCEN) to facilitate communication between U.S. law enforcement agencies and financial institutions. Its purpose is to help identify and locate accounts and transactions of individuals or entities suspected of involvement in money laundering or terrorist financing activities.
This process and associated form replace and supersede previous versions, including informal references such as FinCEN Form 314115. Adherence to 314(a) requests is a critical component of a financial institution's Bank Secrecy Act (BSA) and Anti-Money Laundering (AML) compliance program.
- This is a mandatory government reporting requirement for designated financial institutions.
- Submissions are handled electronically through the FinCEN Secure Information Sharing System or via facsimile.
- Fulfilling these requests is essential for national security and combating financial crime.
Technical Specs
- Product Type
- Financial Regulatory Compliance Form
- Connection
- Electronic (FinCEN Secure Information Sharing System) or Facsimile
- Other Technical Attributes
- Required for BSA/AML Compliance; Mandatory search window: 12 months (accounts), 6 months (transactions)
Compliance & Filing Requirements
Upon receiving a 314(a) request, financial institutions are required to perform specific actions to ensure compliance:
- Designate a point of contact responsible for receiving and processing 314(a) requests.
- Immediately search specified records upon receipt of a request from FinCEN.
- Search for current accounts, accounts maintained during the preceding 12 months, and transactions conducted within the preceding 6 months.
- Report any positive matches to FinCEN within 14 calendar days using their secure system.
- Maintain strict confidentiality regarding all 314(a) requests and any information shared.
The following records must be searched to fulfill the request requirements:
| Record Type | Search Requirements | Timeframe |
|---|---|---|
| Deposit account records | Account holders | Current & preceding 12 months |
| Funds transfer records (31 CFR 103.33) | Originators/transmitters and beneficiaries/recipients | Preceding 6 months |
| Monetary instrument records (31 CFR 103.29) | Purchasers | Preceding 6 months |
| Loan records | Borrowers | Current & preceding 12 months |
| Trust department account records | Account titleholders | Current & preceding 12 months |
| Securities/custody accounts | Account holders | Current & preceding 12 months |
| Commodity futures/options/derivatives accounts | Account holders | Current & preceding 12 months |
| Safe deposit box records | Box holders and authorized persons (if electronically searchable) | Current |
What’s in the Box
- This is a government form for information collection purposes, not a product with physical components.
Troubleshooting & FAQ
What is the purpose of a FinCEN 314(a) Information Sharing Request?
A 314(a) request is a formal inquiry from U.S. law enforcement, via FinCEN, to financial institutions. It requires institutions to search their records for accounts or transactions related to subjects of terrorism or money laundering investigations.
What is the mandatory timeframe for searching records?
Financial institutions must search for current accounts, any accounts maintained during the preceding 12 months, and any transactions that occurred within the last 6 months from the date of the request.
How quickly must a positive match be reported?
Positive matches must be reported back to FinCEN through the Secure Information Sharing System within 14 calendar days of receiving the request.
Are 314(a) requests confidential?
Yes, all 314(a) requests, the information they contain, and any responsive reports are strictly confidential. Institutions are prohibited from disclosing their existence to the subject of the request or any other unauthorized parties.
Is this an official government requirement?
Yes. This process pertains to an official government requirement under Section 314(a) of the USA PATRIOT Act. It is not an aftermarket service or a third-party product.
Shipping speed & cost
Requests are delivered electronically via the FinCEN Secure Information Sharing System. There is no physical shipping or associated cost involved in the transmission of the form itself.
Warranty & returns
As a mandatory legal process, the concepts of warranty and returns do not apply. Financial institutions are legally obligated to comply with the requirements set forth in the request.
Safety & Important Info
- Verify the authenticity and specific details of any 314(a) request against official FinCEN communications. If there are any discrepancies, do not proceed without clarification.
- This is an official government requirement, not an aftermarket service or optional component.
- Consultation with legal or compliance professionals is recommended to ensure your institution's procedures fully adhere to regulatory expectations.
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