EFTA Document EFTA01370238

Deutsche Bank Compliance Rules List Rile Tier : UserDeEned Scheduled :Scheduled Alert r Case : Pretest and of dry : Thursday. 12 July, 2012 Rale Code Tide/Description parameters RACS4Neg Detects RAC S4 tIMASSICD0111 (for FalseNet:atilt wangling) - at last 1 tans between SI and $1000, cvanulauve amount between SI and $10,000 Detects attSaCDOLIS. for which nay of the country party field is from the lit of RACS4 octanes and creates alert case at the customer level A transaction as included m the evaluation based on its qu.dxScation nth specified munanion types (all). a specified time penod (week). the indnadial 3231010% is m a specified nage (31-$1.000). and the cumulative arms of all the transactions (S1-510.000) mew them constrains as m a specified range and the cumulative count n not less than the specified corm (1). Used for False Nepnvesamplmg. Activity Period Wet Month Dint. Semi-Annual. if Alert or Case Alen Blank-Use Date Pnmecen = 'Wet Schaal, Weekly Stan Date for Lookback hesLIID.CCIY. (Len nenod Blank Disable rule Or Reset parameter after rule fl ed Tune Post-EOD executes) =," Schedule Freq Weekly End Date for Looktack NO.t.DD CCYY (Lent Period Bleak. Disable rule orF-eset penmen, after nde executes) =" Min= transacton corms = hfunnium indnidnal transaction =OWL ='1.00' Maximum McMackin cansectien amount For no mama use -I = 999.991 N.f= aggregated transact= nouns. =1.00' Niaximmn aggregated transaction mama For DO IMIXDDE= In -1 =1999.59' List of Risk Classes separated by comm. Use -ALL- for List of Customer Types sap:cited by comma. Use -ALL- for All = '-ALL2 List of Account Types separated by comma. Use -ALL- for All. = List of Amity Tspes separated by comm. Use -ALL- for All. _'ALL- List of Counties separated by comma Use -ALL- for AIL = "ATALDZ,AD.AO_AGICAR,AM,AW.AZ.BS.BD,BY .BZI3LBCL,42.BO.B.A.BUILBFBLXR,E.RCII.XT,X VICv-CF.ID.CC.COICSICG.CD.CICCP-CLIC.CU.0 Y.D3.DO,EC,EG.GQ.EILET,CiA,G.11.GE,GROLXG,G ICC71.1anX-SV,RG-LA-LV,LB-LILLT,LLMO-NDCM G.Nti,mw.Nn-iks,-.3.tr_mkamisue.6.2,Na,No.24 C,S4042.13E,14S,MA.,hasiglaxplab.11siNe NU.MV.W.RW,RSDA.M.QQPG.nY.QROE,74.144. PU,Q.A.RU,RW.E.N;s61),VC .WS.ST,SN.RS,CS,SC,SL, SB.SO.QOLE_SD.SR.ST,TI.TZTILTLIPT2.TO.TO. T1 ,IT.TN,TR ThLUG.UA.Q12,1.7T,UZ,VUNE,VbLEH,YE=YU.X B2ALZ2d.ZW LRCM= CI ear new an, Par Masts Is http:/i om// 16 Page 13 of 14 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0062901 CONFIDENTIAL SDNY_GM_00209085 EFTA01370238