EFTA Document EFTA01413446

AML Committee PWM AML Surveillance Status Report March 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 Internal audit Audit was completed in December 2013. No significant findings Projects/Work Effort