The request

Generally the practitioner will have received a request either though internal channels via formal mail or through point-of-contact on external sites.

Step 1: Check recipient email and header for sign of spoof.

Step 2: Check BSAR filing number matches with internal filing number.

Step 3: Call recipient, ask for landline number if not provided.

Step 4: Verify landline by checking online and/or sending a text. Call landline.

If she has not found a BSAR number on the request, she should respond and request BSAR number and internal filing name as was submitted internally.

If BSAR can not be provided, she should request letter-headed request mentioning subject and date of report.

The most common request will have been in response to a filed activity report. The requests will be made via email almost always. It is advised to provide acknowledgement of having received a request within 12 hours-24 hours. It is also further assumed her the appropriate seniority of personnel is acknowledging and responding, here being the practitioner. This person will have already been identified during role designations. It is not required for the practitioner to inform the Board if the request is not about the firm.

The practitioner will not require legal counsel for assistance in this request response almost always. USCAG rule: 1) Has the subject been a customer that is in the top 20% of volume? 2) Has the subject had more than 3 reports filed upon? 3) Has the subject been considered for reporting at least 3 times before being reported? If the practitioner has answered yes to 2/3, legal counsel is useful here. You messed up a bit.

Legal counsel can assist in response process and help negotiate settlements for snafoo.

In all other cases, review narrative of the report filed. The practitioner will then retrieve the back up documentation which should have been preserved at time of reporting. If the documentation is incomplete, she should re-read that SAR narrative carefully again and retrace steps and information pulled. DO NOT PROVIDE NEWLY FOUND INFORMATION TO REPLACE PREVIOUSLY UNDOCUMENTED BACKUP EVIDENCE.

Provide information securely: The most preferred method by the requestor traditionally has been a password protected compressed folder, and the password is to be provided by telephone after. Call the requestor and confirm that they can open and view the documents. Ask for written confirmation that they have received the documents. Ask whether account needs to remain open if not closed. Get response in writing.

Done?

File a new SAR. Provide information in narrative that backup request has been made in regards to previously filed report. Mention in the allocated field in the beginning of the report of the LE contact that has requested backup documentation. Send.

Wait.

Summons and Subpoena

A furtherance of the backup request may result in a Summons/Subpoena to appear or provide documentation. 99%+ of the cases will not require the practitioner to appear or travel. Subpoenas/Summons may also arise regardless of whether backups had been requested.

Unless the practitioner has extensive experience in and around subpoena fulfillment, it should not be done without supervision and/or review of legal counsel. However, since the practitioner is reading this, it is more often that the reader is not an expert. But let’s pretend the reader is not an expert, and legal counsel is just not possible in this version of the universe.

Step 1: Get a partner.

Step 2: Read it 3 times each, the both of you.

The gjs (grand jury subpoena) will have names, addresses, birthdays, emails, company names, SSNs, and other identifiers.

Step 3: Search each term (unrelated or otherwise) twice.

Step 4: For every time the search term comes up, identify how you found it and document in submitting sheet.

Step 5: Read the letter again.

Step 6: Complete oath formality.

Step 7: Submit password protected compressed folder. Provide password over telephone. Receive acknowledgement in writing.

Step 8: Ask if account is to remain open. Get response in writing.

Step 9: File SAR documenting all of the above.

Things not to do:

DO NOT notify, hint, wink, nudge, telegraph, mind-sway, shadow-nod or otherwise the subject or close to subject or parties that can connect to subject.

DO NOT share with personnel levels subordinate about a GJS. This is precautionary to ensure above situation doesn’t happen.

Search Warrant

Call legal counsel. Step aside and follow instructions from Counsel.

Freeze request

Ask for affidavit about request. File SAR on subject about this request, mention LE that requested.

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