Nex Systems
Company

Lake Shore Savings Bank

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Effective
    13 Jul 2022

    Formal Agreement

    Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States

    FA

    GLBA (12 CFR 30, Appx B)

    General IT Controls

    Information Technology

    Board / Management Oversight

    Reference AA-NE-2022-28apps.occ.gov

  • Effective
    9 Feb 2023

    Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)

    Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States

    C&D

    SAR/CTR Monitoring/Filing Issue

    General IT Controls

    BSA Officer

    BSA/AML

    Audit

    Enterprise Governance / Internal Controls / General Risk Management

    Noncompliance with Enforcement Action

    Board / Management Oversight

    BSA Internal Controls

    BSA Violation Cited

    Information Technology

    Customer/Enhanced Due Diligence (CDD/EDD)

    Strategic Planning

    Internal Audit

    GLBA (12 CFR 30, Appx B)

    BSA Risk Assessment

    BSA SAR Violation / 12 CFR 21.11 or 163.180

    BSA Pillar Violation / 12 CFR 21.21(d)

    Reference AA-NE-2023-03apps.occ.gov

Identifiers1

IdentifierNumber
Registration number705506

Addresses1

  • Dunkirk, NY

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