Bank Secrecy Act (BSA): Key federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering, including requirements for reporting and record-keeping.

USA PATRIOT Act: Federal law that expanded BSA requirements, particularly regarding customer identification programs and enhanced due diligence procedures for higher-risk customers.

Foreign Corrupt Practices Act (FCPA): Federal law prohibiting the payment of bribes to foreign officials to assist in obtaining or retaining business, requiring proper accounting practices and internal controls.

Anti-Money Laundering (AML) Regulations: Comprehensive framework of federal regulations designed to prevent financial institutions from being used as tools for money laundering.

Know Your Customer (KYC) Requirements: Regulatory requirements for financial institutions to verify the identity of their clients and assess their potential risks.

Securities Exchange Act of 1934: Federal law governing securities trading and establishing the SEC, requiring certain due diligence standards for securities transactions.

Sarbanes-Oxley Act (SOX): Federal law establishing enhanced standards for corporate accountability and financial disclosure, including due diligence requirements.

FINRA Requirements: Industry-specific regulations governing broker-dealers and requiring specific due diligence procedures for customer transactions.

SEC Regulations: Federal regulatory framework for securities markets, including specific due diligence requirements for various financial transactions.

OFAC Compliance: Requirements for checking against sanctions lists and ensuring compliance with U.S. economic and trade sanctions.

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive customer data.

California Consumer Privacy Act: State law providing California residents with rights regarding their personal information and imposing obligations on businesses handling such data.

FinCEN Guidelines: Federal guidance on suspicious activity reporting and other aspects of financial crime prevention.

Federal Reserve Board Guidance: Regulatory guidance on risk management and due diligence procedures for financial institutions.

FFIEC Examination Procedures: Standardized procedures for examining financial institutions' compliance with various regulations and due diligence requirements.