EFTA Document EFTA01368499

From: Quigley Sent: 10/17/2014 3:08:39 PM To: Christy Wolanski I; Jonathan Cheng CC: Ying-A Wang Subject: PB Transaction monitoring and Prime request IC] Attachments: Prime request 1.zip; 26109336.gif; 26098974.gif Classification: Confidential Christy I have enclosed the requested items. Please see comments for items 2, 6 & 7. Please let me know if you need any additional information or have any question on any of these items. Cherie From: Christy Wolanski Sent: Friday, October 10, 2014 1:03 PM To: Jonathan Cheng Cc: Pradeepta Roy; Cherie Quigley; Ying-A Wang Subject: PB Transaction monitoring and Prime request [I] Classification: For internal use only Hi Jonathan, Below is a request list related to transaction monitoring for Private Bank and Prime. I am off on holiday Monday (not sure if everyone else is) but feel free to reach out with any questions on the request (most of which was derived from the KOPs). Thank you and have a nice weekend. 1) Last copy of the annual AML monitoring report for PB. See attached 2) Monthly MIS report summarizing results of cases, alerts & inquiries for the months of July 2014, June 2014, March 2014 and December 2013. The monthly MIS reports (PWM AML Status Reports) are attached. These reports were provided to the Regional Head of AML Compliance for informational purposes. The Regional Head of AML Compliance (John Caruso) left DB on June 20, 2014. Therefore, the July 2014 report was not distributed since there has yet to be a replacement for the Regional Head of AML Compliance. Although the underlying data for the July 2014 report was updated, the summary narrative was not, since the report was not distributed. 3) Prime system control log for the period September 1, 2013 to present. See attached (Prime System Control Log) 4) Latest semi-annual review of non-alerted customers/accounts. See attached (Validation Report) 5) Latest semi-annual review of customer/rule combinations established as non-suspicious. See attached (SemiAnnualReviewRecurrents) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0060250 CONFIDENTIAL SDNY_GM_00206434 EFTA01368499