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EFTA Document EFTA01356675Case File
efta-efta01356675DOJ Data Set 10CorrespondenceEFTA Document EFTA01356675
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DOJ Data Set 10
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efta-efta01356675
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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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