EFTA Document EFTA01413404

AML Committee PWM AML Surveillance Status Report June 2014 MANAGEMENT SUMMARY Regulatory/Audit Fed Exam Starting in January 2014, Fed examiner started her review of the clearance of MRAs which AML/BSA Compliance received during 2012 exam. Review of ATM limit ($9,999 for client population), CTR discrepancies (DB Taunus vs. DBTCA), QA of CTRs conducted by AML Compliance, Risk Assessment DB AML to have biweekly meetings and monthly visits with the branch at 345 Park Avenue regarding cas