EFTA Document EFTA01370313

Deutsche Bank US PWM AML Search Requests November and December 2013 6 OFAC requests were received. • 4 FinCEN 314(a) requests were received. • 0 Department of Commerce Denied Persons List were received • 5 International Inquiries and/or Static Data Embargo Inquiries were received. 77 GeneraVLegal requests were received. US PWM AML Search Requests ■ OFAC Updates • FInCEN 314f,a! requests N Dept of Commerce Denied Persons List ■ Int I inquIrviStalk Data Embalm ■ oenecall ecal requests US PWM CTR and SAIF Filings November and December 2013 7 CTR were filed in November 2013 0 SAIFs were filed in November 2013 for the Private Bank. 1 SAIF was filed in November 2013 for Private Client Services. 7 CTR were filed in December 2013 1 SAIF was filed in December 2013 for the Private Bank. 5 SAIFs were filed in December 2013 for Private Client Services. Numbers dropped due to fraud SAIFs moving to AFU. 16 14 12 10 a 6 2 0 —C1P.s fled —P0 !LLD's filed US PWM CTR and SAIF Filings lare I2 II I 1 4 1 8 For internal use only . E I Feb- thleinor. May' Ion. 14 • t " m z g Sep. Ott- No, On, 10113 13 13 13 1i 13 11 13 la • 13 13 2 1 S 0 3 5 3 4 7 0 3 2 1 2 2 3 11 9 0 2 5 2 1 2 1 1 5 9 9 1 S CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0063008 CONFIDENTIAL SDNY_GM_00209192 EFTA01370313