EFTA Document EFTA01359707

From: Ying-A Wang Sent: 9/17/2014 5:41:22 PM To: Jonathan Cheng CC: Cherie Qui ley Matthew Germond I I; Wayne Salit Subject: Re: FW: FW: Fw: 2014 AML KYC Audit ll] Attachments: Monthly Case Assignments.xlsx; Alert Assignments Sep13-Jul14.xlsx; Audit Actimize Alerts Sep13-Jul14.xlsx Classification: For internal use only Johnathan, Enclosed please find relevant files for alert, case, and PCS alert assignments. (See attached file: Monthly Cave Assignments.thx)(See attached file: Alert Assignments Sep13,1u114.xlsx)(See attached file: Audit Actimize Alerts Sep13-.1u114.xls9 Kind regards, Ying Wang Ying Wang Wealth Management AML PUV41.4.a gern*Pt„ Jonathan Cheng---09/17/2014 05:38:50 PM---Classification: For internal use only Ying. From Jonathan Chenlyeatidbcoa To. Ytng-A Wangt Cc. Wayne Saliti Dag, 09117/2014 05:38 PM Subject. FW: FW: Fw. 2014 AML KYC Audit Ill Chad. Quigley Alarms' Gemon4IMMEMMEME Classification: For Internal use only Ying, Please provide me with the below deliverable you sent to Pradeepta so I can record appropriately in the AML Compliance files. As mentioned previously, I've been asked to coordinate all requests and deliveries between the Audit team and AML Compliance. Please send all request responses to me and I will forward to Audit. Thank you in advance for your CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0047820 CONFIDENTIAL SDNY_GM_00194004 EFTA01359707