financial intelligence unit
DESCRIPTION
Financial Intelligence Unit. Development and the application of technology. Building the FIU Issues impacting technical requirements. Laws Regulations Mission/Goals Internal operations and processes (Business Process) Present and future size of the unit Human resource needs - PowerPoint PPT PresentationTRANSCRIPT
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Office of Technical Assistance (OTA) 1
Financial Intelligence Unit
Development and the application of technology
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Building the FIUIssues impacting technical requirements
• Laws• Regulations• Mission/Goals• Internal operations and processes (Business Process)
• Present and future size of the unit• Human resource needs • Technology budget
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Operations & Processes
• Collect data • Analyze information • Receive transaction reports
– Currency Transactions filing (CTRs)– Suspicious Activity filing (SARs)– Etc.– Paper forms and/or electronic filing by Obligated Entities– What is the expected volume of filing?
• Compile additional financial records and intelligence• How will you approach document management and storage• Who are the FIU’s clients?
– Law Enforcement– Prosecutors– Other FIU’s
What does the FIU do?
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Analytical ProcessComponents
Analyst
AnalyticalTools
AnalyticalTools
AnalyticalFunctionsAnalyticalFunctions
AnalyticalProductsAnalyticalProducts
InformationSources
InformationSources
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Analytical Process
Data Text
Statistics Graphics
Analyst
AnalyticalTools
AnalyticalTools
AnalyticalFunctionsAnalyticalFunctions
AnalyticalProductsAnalyticalProducts
InformationSources
InformationSources
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Retrieve
Link
SortEdit
Calculate
Digitize
Analytical Process
Analyst
AnalyticalTools
AnalyticalTools
AnalyticalFunctionsAnalyticalFunctions
AnalyticalProductsAnalyticalProducts
InformationSources
InformationSources
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Word Processing
Spread Sheet
Graphics Data Bases
Analysis Software
Statistics Info
Analytical Process
Analyst
AnalyticalTools
AnalyticalTools
AnalyticalFunctionsAnalyticalFunctions
AnalyticalProductsAnalyticalProducts
InformationSources
InformationSources
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Analytical Process
AnalyticalTools
AnalyticalTools
AnalyticalFunctionsAnalyticalFunctions
AnalyticalProductsAnalyticalProducts
InformationSources
InformationSources
Analyst
Intelligence Reports Analytical ReportsTargeting Reports
Threat AssessmentsCountry Studies
Cash Flow Analyses
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Data Analysis Types
• Association & Link Analysis
• Statistical Analysis
• Aggregate Analysis (between data sets)
• Trends and patterns
• Fraud and ML detection analyses
Remember that the analysis techniques used by your FIU must be supported by the technology
architecture.
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IT Systems InfrastructureLANs, WANs, Intranets, Extranets, Communication links, etc.
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Environment
• Office facility and structure • Physical Security• Computer room requirements
• Network and communication wiring• Air conditioning and humidity controls• Etc.
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Network Architecture
• Local Area Network (LAN) components– Network Hub(s), switches, routers, firewall– Fast Ethernet (100Mb/sec), Cat.5 cable
• Plan for:– network management and control– Power requirements – UPS requirements
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LAN Server(s) Hardware Considerations
• Based on your size of organization and applications supported
• Expandable and easy to support in your local environment
• Capacity planning / Scalability / Upgradable• Redundancy• Backup and recovery• Security controls
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LAN Server Functions
• Centralized storage– Small databases, documents, spreadsheets, etc.
• Email server– MSExchange, Unix Sendmail, etc.
• Other needed functions– LAN printing, calendar– Redundancy, backup and recovery
What do servers provide?
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Dedicated Server(s)
• Server(s) for Database(s)– CTR Database– SAR Database– MIS Database– Others
• Considerations– Scalability, compatibility, ease of use– Redundancy, backup and recovery– Systems security and access controls– Power requirements – UPS requirements
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Database Architecture
• Relational database– SQL based database
• Logical Data Model(s)– Strive for standardization & interoperability
• Client-side Database access tools– modification, queries, manipulation, etc.
(Sybase MS SQL, Oracle, Informix…, etc.)
Database Examples
Internal DB Server
CMIR
SAR
Other
CTR
Choose a database software package that best satisfies your requirements and fits your environment.
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Logical and Common Data Model
Report
Transaction
Participant
Address
Request
Subject
Identification
Intelligence
Transaction Entity Model
Request Entity Model
Intelligence Entity Model
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Small FIU
Data Standards – why?
Country-specific Data
Common / Core DataLarge FIU
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Analytical Tools
• Tools for data presentation, visualization, link/association, statistical analysis, data mining, pattern discovery, etc.– Visual Analytics (VisuaLinks)
– SAS
– SPSS (Clementine)
– Xanalys (Watson)
– i2 (Analyst Notebook, etc.)
– NetMap
Which tools best meet your FIU needs and environment?
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Workstations Hardware and Software
Example:
• Hardware (Compaq, Dell, etc.)• 256 MB Ram• 40 GB hard drive• CD-ROM/DVD
• Operating environment • Windows NT, 2000, XP
• Internet Connectivity• Network card, modem, WiFi, etc.
• Software• Word processor (MSWord)• Email (MSOutlook, Netscape, …)• Analysis tools • Database application (Access, etc.)•Internet browser (MS Explorer, Netscape, …)• Database client (Sybase, Oracle, MS SQL, …)
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Communication Considerations
• Access to external systems (Gov’t or Commercial DBs)
• Providing access to in-house systems– Dial-up or dedicated access
• File transfers to/from FIU– secure email
• Data and communication security controls– Authentication, encryption & access audit
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Technical Support Staff
• Network installation, configuration and support
• Systems and communication administration
• Database / software development and support
• Desktop support
Consider current and future technical support staff needs.
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Maintenance and Support of Key Systems
• Maintenance and service level agreements to support mission critical systems for hardware and software
• Type of service(s) required– 24/7– telephone help line – Upgrades and patches
• Vendors on-site or phone support
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Training Staff
• Technology training– Use of computers & Software– Databases– Internet– other tools
• Functional / Analytical training– Financial / Intelligence analyses– Reporting, etc.
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Thank YouJoe BognannoEnforcement Advisor
T: +1 571.275.7480F: +1 703.573.6660
Office of Technical Assistance (OTA)
US Department of the Treasury