EFTA Document EFTA01370228

Deutsche Bank Compliance Rules List Rale Type VierDelned Scheduled :Schedided Alert (Ise : Pretest end of day : Thursday. I: July, 2012 Rule Code Tide 1 Description Parameters LreCashDep Detect antonym with large cash deposits CTR Amount =11007 Last No Of Months • T Detects activity for customers performing WISYSOUS cash deposits Max Total CTR Amount ='30000' totaling over a specified dollar amount during a deurnoted time Tolerance = '10' penal If a tolerance is provided, then the tolerance patentee ell be calculated and lower the miscount xnl mount. For example Tolerate of 10% with Mrartozos Tote CTR Amount of $50.000 would lower the raeximum enhances to 527.000. Individual transactons must be at least S9.000. Designed to be run leost-E0D co a monthly or quarterly schedule. The reamer penod is monthly. The Macbeth period is also 1 month to synchronize with the recurrence period. VelFrItscDel Detect Free Receipts followed Free Deliveries within 0 percent tea Number of Days = 7 7 days Patent = Inbound Activity Type • '1171 Detect customers who had FREE RECEIPTS followed by Outbound Acmity Type =1179' FREE DELDIERIES where the Mal IMO= differ by let dean or ulna to 0 percent warn 7 days. Rasa Post-EOD. Alert or Case Alen Schedule Monthly Eval lbw Post-E0D Schedule Frig Monthly Alerts Caw Alert Schedule Weekly Eva Thee Pou-EOD Schedule Friel Weekly VelWireChk Detect tottering Woes followed by checks with= 3 paten over 7 days Detect customers who hadINCOMING WIRES followed by PIECES where the tonl amounts differ by Sat than or equal to 3 pantos utter 7 days. Reit Post-EOD. Mantes of Days =7 Perceit • 3' Inbound Acorn>. Tn. = 9130 Outboard Activity Type • '306' Alert or Cam Alert Schedule Weekly Eva Time Poi-E0D Schedule Iraq Weekly VelWire0X1 Detects lamming Whet followed by Official Checks widen 3 percent cut 7 days Detects customers who had INCOMING WIRES followed by OFFICIAL CH2ECKS then dm total amours differ by less than or equal to 3 patent sinthin 7 days. Ram Pus-E0D Number of Days = 7 Percent "3' Inbound Amity Type = 9130 Outbound Activity Type • '314' Alert or Cow Alen Schedule Weakly. Eva Time Post-SOD Schedule From Weekly C. IN.,. Fele }Y.. 0.1.• awn, http:/ db.com// 5 Page 2 of 14 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0062890 CONFIDENTIAL SDNY_GM_00209074 EFTA01370228