TOPIC: BSA/AML

Massachusetts Registered Agent

Director at a credit_union ($188MUSA)
Hi Everyone, I am performing a due diligence review of a business member and went to the MA SOC website to pull their annual report and noticed that the one registered agent submitted his resignation around 3 weeks after filing the annual report.  There is currently no Registered Agent listed on the SOC site.  Looking to get confirmation that MA Law requires there be a registered agent as well as any guidance on what my next step(s) are as the FI where the business accounts are at.  Thank you, Karen

    CDD for Wealth Management

    Employee at a bank ($3.7BUSA)
    Does anyone have a CDD or BSA questionnaire specific to their Wealth Management customer and accounts, due to that process being separate from normal bank operations? Potentially not using the same systems for risk scoring that is used on the bank side as well?