EFTA Document EFTA01368704

Deutsche Bank Compliance Week 4 accounts with MC wires / ol aaounts with lire Wife %of ao:ounts vnth 1 inc wire /of aaount4 wilh 304 eiM'n< wires %of aCcOuntS vnth 3 or more MC wires Oaf accounts with 4o4 mOre Inc wires %a Total accounts with 4 or moronic wires 1 410 3111 716C 38 9% 20 2 3 299 281 230 77%1 3 8% 18 6% 5% 219 77%. 8 9% 13 4 303 233 77% 31 10% 17 Ent 5 404 332 82%. 36 9% 8 6% 6 7 309 273 249 2181 81%i 23 80% - 29 7% 21% 11 17 6% 8 240 1971 82% 21 9% 9 4% 9 409 3311 81% 30 7% 20 10 332 260 78% 28 8% 1.5 11 360 2911 81% 27 8% 15 4% 12 256 2031 8114: 3 8% 14 13 368 2751 79%" 37 30% 26 avenge 126.0181 23933949 79% 811092 9% Stab 5% Week Avg. me wore per account Avg. credit peraaount I excl. accounts with only Zinc wire and omm a/c) vol Amt Vol Amt I 2.114634146 51617.%7.79 5.9673913 $ 42%76270 2 1.799331101 szme.an.); 444076832 5 7.1314803 3 158211268 S 966758.99 333846154 5 1486.242.28 4 1844884488 52,241.%5.94 4657142% $ 7,272.7%21 S 186381188/ 51.873.877.75 5475 5 7,851.59175 6 1.540153074 $1144236.37 3781310133 5 2,463 382.66 7 1102197802 5 1202,646.92 4.98181818 5 2964.1%59 8 169/666667 51771005.15 48601%12 5 5.367.91080 9 169682/5/6 51473.916.54 4.45384615 5 5.014.023.57 10 175 51278757.20 4.49295775 $ 3,717.5%62 11 1619/44444 $ L165.80.60 4.23128466 5 3.217.66939 12 1.94140625 53069,34546 6.02081313 510406.58827 13 2.10507826/ 5 1,734987.30 537634403 S 4738.092.27 may 1790/61616 51,694267S 4.9233216 S 5,070,412.24 On average, 327 Private Bank accoun s receive incoming wires every week. About 80% of those accounts (-259) of those accounts received only 1 incoming wire per week. About 28 accounts per week (9%) have 3 or more incoming wires and roughly 17 accounts per week (5%) have 4 or more incoming wires. The average PWM account with outgoing transfers has 2 of these transactions per week and the average size of the transaction is $847.133.98 ($1,694.267.97/2). RECOMMENDATION No changes recommended. Current parameters are sufficient. Rule Name RepWiresOut Additional Details/Parameter Settings 3 Outgoing Wires exceeding $300,000. Runs weekly. The rule is designed to flag accounts that have 3 or more outgoing wires of at least $300,000 each within 7 days. The analysis included in this document is based on the population of transactions with a "bookdate" between 3/1/2011and 3/31/2011. Total number of incoming wires for this period: 27,971. In 1O 2012, about 3% or, 908 of 27,971 outgoing wires were captured in a repetitive alert http://compliance.intranetdb.com// 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0060611 CONFIDENTIAL SDNY_GM_00206795 EFTA01368704