AML Book Questionaire

Business Name *

Business Phone *

Website *

Business Address *

Line 1

Line 2

City

State

Zip Code

Country

When was your last Federal Compliance Audit? *

Who performed your last Federal Compliance Audit? *

Regulation Information

Who is the Responsible Law Enforcement Agency *

Do you report transactions electronically to law enforcement? *

Yes No

Name of database you report to? *

How often? *

County Bussiness is Located in *

Who regulates your industy in your state? *

What agency mandates the fees you charge, if any? *

Pawn Information

How long is your pawn term? *

How many day is your mandatory police hold for buys? *

Are pawns released to whoever holds the ticket or to the pledgor only? *

Ticket Holder Pledgor Only

Grace Period? *

How many police confiscations in an average year? *

What pawn software do you use? *

What company do you purchase your pawn tickets from? *

SDN Information

Does your software automatically check names against the SDN list? *

The SDN list you are checking against is updated regularly? *

If not how do you check the list? *

Precious Metals Information

In the past year, have you purchased $50,000 in covered goods? *

Do you sell to Precious Metals Dealers (scrap)? *

In the past year, have you sold $50,000 in covered goods? *

If yes, Company Name? *

How often do you scrap? *

Do you verify that Precious Metals Dealers have AML programs in place before doing business? *

How do they pay you? *

Do you deal with any foreign countries, banks, or nationals living outside of the US? *

Does this include online commerce such as eBay and others? *

Transaction Information

Do you accept checks for: *

Retail Sales Renews Redeems

Do you accept Debit Cards for *

Retail Sales Renews Redeems

Do you accept Credit Cards For *

Retail Sales Renews Redeems

hat is the Lowest Dollar Amount you will loan someone *

What is the total number of buys you do in a year? *

hat is the higest Dollar Amount you will loan someone *

What is the Aveage Buy Dollar amount in a year? *

What is the total number of pawns you do in a year? *

How many bullion/coin sales in a month? *

What is the frequency of $10,000+ sales? *

What is the Aveage Pawn Dollar amount in a year? *

How many bullion/coin purchases in a month? *

What is the frequency of $10,000+ Pawn redemptions?? *

Please Provide a copy of the front of a blank pawn ticket *

Max file size: 20MB

Please Provide a copy of the back of a blank pawn ticket *

Max file size: 20MB

Compliance Tracking Information

What is your ‘high $’ sales/pawn tracking preference *

Do you prefer to track your ‘high $’ items *

For each of the following, describe how and where they are stored, how long they are kept, and the method of destruction you use (if any):

Pawn Tickets *

Sales records and credit card/debit card receipts *

Terminated employee files *

Buy Tickets *

Current employee files *

Describe the back-up method for the pawn software program and the frequency. If you use media to back up your files, where is it stored? *

Do you want us to provide annual external compliance audits as required by federal law? *

Do you want to use our online training resource for required annual training ($25/employee adnd $35/Compliance Officer))? *

Firearm Information

Do you have an FFL? *

If yes, do you do transfers? *

How much do you charge? *

What is the average number of transfers in a month? *

Is your A&D book manual entry or electronic? *

If it is manual, how many employees have access to and/or make entries in the book? *

How often do you do an internal check of your gun records and processes? *

When was the last time all A&D info was verified (especially serial numbers)? *

If yes, do you require any proof of proficiency before that privilege is granted? *

Does that proof require more than just accuracy? (Crowded areas, know your backstop etc.) *

Do you have a store firearms policy in place? *

If not, would you like one? *

MLA Information

How close are you to a military base? *

How many MLA loans did you write in the last year? *

Which one(s)? *

Do you operate under the Safe Harbor provision (asking every single customer for their SSN)? *

Do you print any certificates from the MLA database OR do you save them digitally? *

If you save these digitally, how often do you back them up? *

Do you give all “covered” borrowers a written disclosure as required? *

Do you give all “covered” borrowers a oral disclosure? *

Do you use your own disclosure OR one from Burrell (or other vendor)? *

Do you use a checklist (like one of those offered by Burrell) as a way to vet your customers?Untitled *

If you are a California store, do you use a CAPA ticket to vet your customers? *

If someone refuses to give you their SSN, do you still go ahead with the loan? *

If you do not operate under Safe Harbor, do you ask every customer if they are military or a dependent after you agree to do the loan but prior to printing the pawn ticket? *

Check which of the following items you attach to your pawn tickets: *

Checklist (like Burrell 11-5565 or 11-5570) Written/oral MAPR disclosure (like Burrell 11-5560) Verification certificate from MLA database

If you do not attach these to the ticket, how are you storing them? *

How often do you check existing customers to re-evaluate their covered borrower status? *

Have you changed your record retention policy to reflect the MLA requirements? *

If you use Pawnmaster, have you checked your settings to make sure you are prorating MLA loans? *

Your Information

Business Information

Regulation Information

Pawn Information

SDN Information

Precious Metals Information

Transaction Information

Compliance Tracking Information

Firearm Information

MLA Information