Case File
efta-01372646DOJ Data Set 10OtherEFTA01372646
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01372646
Pages
1
Persons
0
Integrity
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The AML Unit will evidence/document each file reviewed by utilizing the attached TALF Borrower File
Review Assessment Form.
e x 1
TALF File
Assessment. xls
Step 6 — Escalation of exceptions
The AML Unit will communicate (via e-mail) with appropriate Management (e.g. AML Compliance, CAG,
TMG-QA) on the results of the File Review. Items that are noted as exceptions will need to be remedied
by CAG/TMG-QA within a reasonable time-frame. Remediation of identified exceptions will be
forwarded to AML Compliance so as to track completion.
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)
DB-SDNY-0066434
CONFIDENTIAL
SDNY_GM_00212618
EFTA01372646
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