Case File
efta-01356675DOJ Data Set 10OtherEFTA01356675
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01356675
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
EFTA DisclosureText extracted via OCR from the original document. May contain errors from the scanning process.
Negative media in context of other lifecycte controls
New Client
Adoption
Source of Wealth
Event Driven
Review
I
1
I\N \
Transaction
Account Behavior
Negative Media
Source of Funds
Monitoring
(via RM, no Tools)
Alerts
Regular Review
Inherently biggest area of judgment
• Real allegations?
• Completeness of allegation?
• Politically motivated allegations?
• Allegations / proceedings but no conviction yet? / ever?
• How much/what negative news is still within risk appetite?
Name List Screening /
Sanctions alerts
Confidential
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0042663
CONFIDENTIAL
SDNY_GM_00188847
EFTA01356675
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