Case File
sd-10-EFTA01422164Dept. of JusticeOtherEFTA Document EFTA01422164
DBTCNA as of 9-30-2014 Current Year Prior Year 0 No. P/Y Question DBTCNA Memo PWM Estimated /Verified PWM Estimated /Verified Products/Services - Transactions: (Data for this section should reflect averages for the previous 12 months as of 9/30.) P/S 1 1 Issuance of Traveler's Checks, Official Bank Checks & Money Orders Number of Retail Transactions (average daily volume) 0 0 Average Daily Volume (amounts in $ 000's) 0 E 0 P/S 2 2 International Bank Drafts Number
Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01422164
Pages
73
Persons
0
Integrity
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Summary
DBTCNA as of 9-30-2014 Current Year Prior Year 0 No. P/Y Question DBTCNA Memo PWM Estimated /Verified PWM Estimated /Verified Products/Services - Transactions: (Data for this section should reflect averages for the previous 12 months as of 9/30.) P/S 1 1 Issuance of Traveler's Checks, Official Bank Checks & Money Orders Number of Retail Transactions (average daily volume) 0 0 Average Daily Volume (amounts in $ 000's) 0 E 0 P/S 2 2 International Bank Drafts Number
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DBTCNA as of 9-30-2014
Current Year
Prior Year
0
No.
P/Y
Question
DBTCNA Memo
PWM
Estimated
/Verified
PWM
Estimated
/Verified
Products/Services -
Transactions: (Data for this section should reflect
averages for the previous 12 months as of 9/30.)
P/S
1
1
Issuance of Traveler's Checks, Official Bank Checks
& Money Orders
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
P/S
2
2
International Bank Drafts
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
Further:
2a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
3
3
Domestic Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
Average Daily Volume (amounts in $ 000's)
Average Outgoing daily
thousand dollar volume
Number of Retail Transactions (average daily volume)
51
46
Average Daily Volume (amounts in $ 000's)
713
E
678
Number of Retail Transactions (average daily volume)
Total
Average Daily Volume (amounts in $ 000's)
Total
P/S
4
4
Domestic PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
P/S
5
5
ACH
Number of Retail Transactions (average daily volume)
30
25
Average Daily Volume (amounts in $ 000's)
155
E
140
P/S
6
6
International Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
Average Daily Volume (amounts in $ 000's)
Average Outgoing daily
thousand dollar volume
Number of Retail Transactions (average daily volume)
Before rounding up
EFTA01422164
Total
2
E
5
Average Daily Volume (amounts in $ 000's)
Before rounding up
Total
10
E
23
Number of Retail Transactions (average daily volume)
Total
Average Daily Volume (amounts in $ 000's)
Total
Further:
6a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
Argentina-ar
1
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
1
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
or V?
0
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
1
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
1
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
Islands-vg
0
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
0
E or V? 0
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
ky
0
E or V? 0
Average Daily Volume (amounts
Number of Retail Transactions
Republic of-ca 0
E or
Average Daily Volume (amounts
Number of Retail Transactions
or V?
0
Average Daily Volume (amounts
Number of Retail Transactions
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
1
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
0
E
1
Average Daily Volume (amounts in $ 000's)
Number of Retail Transactions (average daily
in $ 000's)
(average daily
E
in $ 000's)
(average daily
V? 0
in $ 000's)
(average daily
in $ 000's)
(average daily
1
E
1
volume)
Australia-au
1
E
1
volume)
Bahamas 0
0
E or V? 0
volume)
Bulgaria
1
E
1
volume)
Brazil-br
1
E
1
volume)
British Virgin
0
E
1
volume)
Cameroon
0
E or V? 0
volume)
Canada-ca
1
E
1
volume)
Cayman Islands-
0
E or V? 0
volume)
China, Peoples
0
E or V? 0
volume)
Denmark 0
0
E or V? 0
volume)
Ecuador 1
1
volume)
2
volume)
0
volume)
E
1
France-fr
E
1
Germany-gm
E
1
Isle of Man
E
E
1
E
1
EFTA01422165
Average Daily Volume (amounts in $ 000's)
1
E
1
E
Number of Retail Transactions (average daily volume)
Ireland-ie
1
E
1
E
Average Daily Volume (amounts in $ 000's)
1
E
1
E
Number of Retail Transactions (average daily volume)
Italy-it
0
E
1
E
Average Daily Volume (amounts in $ 000's)
0
E
1
E
Number of Retail Transactions (average daily volume)
Mexico 1
E
1
E
Average Daily Volume (amounts in $ 000's)
1
E
1
E
Number of Retail Transactions (average daily volume)
Netherlands
0
E or V? 0
E
Average Daily Volume (amounts in $ 000's)
0
E or V? 0
E
Number of Retail Transactions (average daily volume)
New Zealand
0
E or V? 0
E
Average Daily Volume (amounts in $ 000's)
0
E or V? 0
E
Number of Retail Transactions (average daily volume)
Portugal-pt
0
E
1
E
Average Daily Volume (amounts in $ 000's)
0
E
1
E
Number of Retail Transactions (average daily volume)
Singapore-sg
1
E
1
E
Average Daily Volume (amounts in $ 000's)
1
E
9
E
Number of Retail Transactions (average daily volume)
South Africa
0
E or V? 0
E
Average Daily Volume (amounts in $ 000's)
0
E or V? 0
E
Number of Retail Transactions (average daily volume)
Spain
1
E
1
E
Average Daily Volume (amounts in $ 000's)
1
E
2
E
Number of Retail Transactions (average daily volume)
Sweden -se
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
Number of Retail Transactions (average daily volume)
Switzerland-sz
1
E
1
E
Average Daily Volume (amounts in $ 000's)
1
E
1
E
Number of Retail Transactions (average daily volume)
Thailand
0
E or V? 0
E
Average Daily Volume (amounts in $ 000's)
0
E or V? 0
E
Number of Retail Transactions (average daily volume)
Ukraine 0
E
or V?
0
E
Average Daily Volume (amounts in $ 000's)
0
E or V? 0
E
Number of Retail Transactions (average daily volume)
United Kingdom-
uk
1
E
1
E
Average Daily Volume (amounts in $ 000's)
2
E
2
E
Total
F47+F5O+F53+F56+F59+F62+F65+F68+F71+F74+F77+F8O+F83+F86+F89+F92+F95+F98+F101-
+F104+F107+F110+F113+F116+F119+F122+F125+F128+F131=14.0
Total
F48+F51+F54+F57+F6O+F63+F66+F69+F72+F75+F78+F81+F84+F87+F9O+F93+F96+F99+F102-
+F105+F108+F111+F114+F117+F120+F123+F126+F129+F132=16.0
F40-F133=-12.0
F41-F134=-6.0
EFTA01422166
P/S
7
7
International PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
Further:
7a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
P/S
8
8
Remittance Products
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
Further:
8a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
9
9
Cross-Border ACH
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
Further:
9a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
10
10
Remotely Created Checks.
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
P/S
11
11
Domestic Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
P/S
12
12
International Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
Further:
12a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
13
13
Bulk Cash/Currency Repatriation
Number of Retail Transactions (average daily volume)
0
E
0
E
Average Daily Volume (amounts in $ 000's)
0
E
0
E
Further:
13a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
14
14
Prepaid Cards:
14a
14a
Prepaid Cards - Reloadable
New 2012
Number of Retail Transactions (average daily volume)
New 2012
0
E
0
E
Average Daily Volume (amounts in $ 000's)
New 2012
0
E
0
E
14b
14b
Prepaid Cards - Non-Reloadable
New 2012
Number of Retail Transactions (average daily volume)
New 2012
0
E
0
E
EFTA01422167
Average Daily Volume (amounts in $ 000's)
New 2012
0
E
0
Products/Services - Accounts: (Data for this section should reflect all
accounts on record at the bank as of 9/30.)
P/S
15
15
Loans Secured by Cash Collateral
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
E
0
P/S
16
16
Prepaid Card Programs - Third Party Sponsored:
16a
16a
Prepaid Card Programs
Third Party Sponsored - Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
16b
16b
Prepaid Card Programs
Third Party Sponsored - Non-Reloadable: New 2012
Total Number of Accounts (actual number) New 2012
0
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
P/S
17
17
Prepaid Card Programs - Bank Sponsored:
17a
17a
Prepaid Card Programs
Bank Sponsored - Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
17b
17b
Prepaid Card Programs
Bank Sponsored - Non-Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
P/S
18
18
Prepaid Cardholders
18a
18a
Prepaid Cardholders - Reloadable:
New 2012
Total Number of Accounts (actual number) See 2011 15, 16, 17
0
E
0
Total Outstanding Balances (amounts in $ 000's) See 2011 payroll cards,
stored value...
0
E
0
18b
18b
Prepaid Cardholders - Non-Reloadable:
New 2012
Total Number of Accounts (actual number) See 2011 15, 16, 17
0
E
0
Total Outstanding Balances (amounts in $ 000's) See 2011 payroll cards,
stored value...
0
E
0
P/S
19
19
International Branches
Total Number of Accounts (actual number) 2011, this was named
"International Branch
0
E
0
Total Outstanding Balances (amounts in $ 000's) Facility"
0
E
0
Further:
19a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
EFTA01422168
P/S
20
20
Foreign Correspondent Accts
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
20a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
21
21
Payable Through Accts
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
21a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
22
22
Pouch Services
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
22a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
23
23
Foreign Banking Affiliate (e.g., Parallel Banks)
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
23a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
24
24
International Department
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
24a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
25
25
Domestic Private Banking
Total Number of Accounts (actual number) From call report
2661
V
2708
V
Total Outstanding Balances (amounts in $ 000's)
From call report
9023684 V
7741051 V
P/S
26
26
International Private Banking
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
25a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
27
27
Embassy & Consulate Banking
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
26a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
28
28
Trust Department Accounts - Charitable Trust &
Foundations - Domestic Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
'RC-T Back Up-2013'!C23=77.0
V
77
V
Total Outstanding Balances (amounts in $ 000's)
From call report
542766 V
512693 V
P/S
29
29
Trust Department Accounts - Charitable Trust &
Foundations - Foreign Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
E
0
V
Total Outstanding Balances (amounts in $ 000's) 0
E
0
V
EFTA01422169
Further:
29a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
30
30
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Custodial Accts
Total Number of Accounts (actual number) From call report
22
V
23
E
Total Outstanding Balances (amounts in $ 000's) 88785
V
88762
E
P/S
31
31
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Investment Advisory Accts
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
E
1
E
Total Outstanding Balances (amounts in $ 000's) 0
E
4769
E
P/S
32
32
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Revocable Trusts
Total Number of Accounts (actual number) 49
E
55
E
Total Outstanding Balances (amounts in $ 000's) 123074 E
123906 E
P/S
33
33
Foreign Grantor or Beneficiaries
Total Number of Accounts (actual number) 68
E
71
E
Total Outstanding Balances (amounts in $ 000's) 177131 E
188669 E
P/S
34
34
Loans or Closely Held Corporations
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
35
35
Domestic Commercial Letters of Credit:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
36
36
International Commercial Letters of Credit -
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
36a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
37
37
Stand-by Letters of Credit
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
38
38
Brokerage Department/Operations
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
39
39
Investment Advisory/Management
Total Number of Accounts (actual number) From call report
46
V
52
V
Total Outstanding Balances (amounts in $ 000's) 107715 V
113437 V
Customers: (Data for this section should reflect all customers on record at
the bank as of 9/30.)
C
40
40
Non-Resident Alien Accts
Total Number of Accounts (actual number) 68
E
71
E
Total Outstanding Balances (amounts in $ 000's) 177131 E
188669 E
Further:
40a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) Argentina
4
E
4
E
Total Outstanding Balances (amounts in $ 000's) 5169
E
5204
E
Total Number of Accounts (actual number) Australia-as
3
E
EFTA01422170
3
Total Outstanding Balances (amounts in $ 000's) 1252
E
1291
E
Total Number of Accounts (actual number) Bermuda-bd
1
1
Total Outstanding Balances (amounts in $ 000's) 2367
E
2364
E
Total Number of Accounts (actual number) Bulgaria
3
3
Total Outstanding Balances (amounts in $ 000's) 329
E
330
Total Number of Accounts (actual number) Virgin Islands (US)
1
E
1
Total Outstanding Balances (amounts in $ 000's) 2157
E
1935
E
Total Number of Accounts (actual number) Canada 7
E
7
E
Total Outstanding Balances (amounts in $ 000's) 12709
E
12216
E
Total Number of Accounts (actual number) France 9
E
9
E
Total Outstanding Balances (amounts in $ 000's) 13417
E
18838
E
Total Number of Accounts (actual number) Germany 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 1618
E
1705
E
Total Number of Accounts (actual number) Greece 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 26
E
26
E
Total Number of Accounts (actual number) Hungary 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 1388
E
1425
E
Total Number of Accounts (actual number) Ireland 2
E
2
E
Total Outstanding Balances (amounts in $ 000's) 1152
E
1.28
E
Total Number of Accounts (actual number) Isle of Man
3
E
3
Total Outstanding Balances (amounts in $ 000's) 41603
E
41762
E
Total Number of Accounts (actual number) Israel 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 238
E
240
E
Total Number of Accounts (actual number) Italy
1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 473
E
477
E
Total Number of Accounts (actual number) Mexico 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 1250
E
1186
E
Total Number of Accounts (actual number) New Zealand
0
E
1
Total Outstanding Balances (amounts in $ 000's) 0
E
765
E
Total Number of Accounts (actual number) Peru
1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 1091
E
1054
E
Total Number of Accounts (actual number) Russia 2
E
2
E
Total Outstanding Balances (amounts in $ 000's) 183
E
187
E
Total Number of Accounts (actual number) Singapore-sn
0
E
1
Total Outstanding Balances (amounts in $ 000's) 0
E
7481
E
Total Number of Accounts (actual number) Sweden 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 565
E
556
E
Total Number of Accounts (actual number) Switzerland
2
E
2
Total Outstanding Balances (amounts in $ 000's) 25391
E
24930
E
Total Number of Accounts (actual number) United Kingdom
24
24
Total Outstanding Balances (amounts in $ 000's) 64753
E
63426
E
Total Number of Accounts (actual number) Total Check
EFTA01422171
F332+F335+F338+F341+F344+F347+F350+F353+F356+F359+F362+F365+F368+F371+F374+F-
377+F380+F383+F386+F389+F392+F395=69.0
H332+H335+H338+H341+H344+H347+H350+H353+H356+H359+H362+H365+H368+H371+H374+H-
377+H380+H383+H386+H389+H392+H395=71.0
Total Outstanding Balances (amounts in $ 000's)
F333+F336+F339+F342+F345+F348+F351+F354+F357+F360+F363+F366+F369+F372+F375+F-
378+F381+F384+F387+F390+F393+F396=177131.0
188669
Compare check
F398-F328=1.0
H401-H330=0.0
Compare check
F399-F329=0.0
H399-H329=0.0
C
41
41
Politically Exposed Persons
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
E
0
Further:
41a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) China, Peoples Republic of-ca
0
E or V? 0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Memo item only; not part
of...
United States-us
25
E
12
Total Outstanding Balances (amounts in $ 000's) Memo item only; not part
of response
109672 E
31606
E
C
42
42
Foreign Off-Shore Corporations
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
E
0
Further:
42a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies
Total Number of Accounts (actual number) Bermuda-bd
0
E or V?
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) British Virgin Islands (UK)-vi
0
E or V? 0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Netherlands Antilles-an 0
or V?
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Singapore-sn
0
E or V?
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Total Check
0
E or V?
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
C
43
43
Money Service Business (MSB) - Domestic Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
E
0
C
44
44
Money Service Business (MSB) - Foreign Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
E
0
Further:
44a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
EFTA01422172
C
45
45
Money Service Business (MSB) - Money Transmitters
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
46
46
Money Service Business (MSB) - Check Cashers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
47
47
Money Service Business (MSB) - Issuers or Sellers
of Traveler checks or Money Orders
Total Number of Accounts (actual number) slightly different wording for
2011- NA
0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
48
48
Money Service Business (MSB) - Providers of Prepaid
Access:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
49
49
Money Service Business (MSB) - Sellers of Prepaid
Access:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
50
50
Convenience Stores
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
51
51
Liquor Stores
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
52
52
Customers/Accts opened through the Internet, Mails,
Wire, or Phone (non-branch)
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
53
53
Domestic Deposit Brokers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
54
54
Foreign Deposit Brokers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
54a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
55
55
Domestic Charitable Organizations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
'RC-T Back Up-2013'!C23=77.0
V
77
V
Total Outstanding Balances (amounts in $ 000's)
From call report
542766 V
512693 V
C
56
56
Foreign Charitable Organizations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
E
0
V
Total Outstanding Balances (amounts in $ 000's) 0
E
0
V
Further:
56a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
57
57
Jewelry, Gem, and Precious Metal Dealers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
EFTA01422173
C
58
58
Travel Agencies
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
59
59
Casinos
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
60
60
Import/Export
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
61
61
Broker Dealers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
62
62
Telemarketers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
63
63
Car Dealers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
64
64
Boat/Airplane
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
65
65
Remotely Created Check Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
66
66
Domestic Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
67
67
Foreign Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
68
68
Bulk Cash/Currency Repatriation Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
69
69
Third Party Senders
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
70
70
Prepaid Card Program Managers:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
For internal use only
EFTA01422174
RC-T Back Up-2014
Schedule RC-T -- Fiduciary and Related Services
As reported 9/30/2014
(Column A)
(Column B)
(Column C)
(Column D)
FIDUCIARY AND RELATED ASSETS
Dollar Amounts in Thousands
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
4.
Personal trust and agency accounts
5027295 3153136 2218
281
5.
Employee benefit and retirement-related trust
5. a.
Employee benefit -- defined contribution 0
5. b.
Employee benefit -- defined benefit
0
5. c.
Other employee benefit and retirement-related
91933
12
5
6.
Corporate trust and agency accounts
7.
Investment management and investment advisory agency accounts
107715 0
46
0
8.
Foundation and endowment trust and agency accounts
542742
24
76
1
9.
Other fiduciary accounts
10.
Total fiduciary accounts (sum of items 4 though 9)
SUM(C6:C14)=5689806.0
SUM(D6:D14)=3245093.0
SUM(E6:E14)=2352.0
SUM(F6:F14)=287.0
11.
Custody and safekeeping accounts
88785
22
12.
Fiduciary accounts held in foreign offices (included in items 10
and 11)
13.
Individual Retirement Accounts, Health Savings Accounts, and other
similar accounts (included in items 5.c and 11)
Amount Formula
25
Number of accounts [Domestic Private Banking]
SUM(E15:F15)+F16=2661.0 =SUM(E15:F15)+F16
25
Dollars (in thousands)
SUM(C15:D15)+D16=9023684.0
=SUM(C15:D15)+D16
28 & 55 Number of accounts [Domestic Charitable Trusts & Foundations /
Domestic Charitable Orgs]
SUM(E13:F13)=77.0
=SUM(E13:F13)
28 & 55 Dollars (in thousands)
Domestic Charitable Orgs]
30
Number of accounts
30
Dollars (in thousands)
39
Number of accounts
39
Dollars (in thousands)
For internal use only
and agency accounts:
0
0
0
0
0
0
accounts
12054
[Domestic Charitable Trusts & Foundations /
SUM(C13:D13)=542766.0
=SUM(C13:D13)
F16=22.0
=F16
D16=88785.0
=D16
SUM(E12:F12)=46.0
=SUM(E12:F12)
SUM(C12:D12)=107715.0
=SUM(C12:D12)
EFTA01422175
DBTCNA as of 9-30-2013
&9
G:\NA\OCC\AML-BSA Risk Survey\
As of 2011-09-30\
&F
&"Arial,Bold"&12Deutsche
BSA/AML Quantity of Risk Summary
&A
&9Page &P
Current Year
Prior
0
No.
P/Y
/Verified
PWM
/Verified
Products/Services -
Transactions: (Data for this
averages for the previous 12 months as of 9/30.)
P/S
1
1
Issuance of Traveler's Checks,
& Money Orders
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
2
2
International Bank Drafts
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
2a. Geographical Focus: If there are foreign
involved, enter information for all applicable geographies.
P/S
3
3
Domestic Wires Transfers
Number of Retail Transactions (average daily volume)
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
Average Daily Volume (amounts in $ 000's)
Average Outgoing daily
thousand dollar volume
Number of Retail Transactions (average daily volume)
51
Average Daily Volume (amounts in $ 000's)
678
Number of Retail Transactions (average daily volume)
Average Daily Volume (amounts in $ 000's)
Total
P/S
4
4
Domestic PUPIDs [payable upon
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
5
5
ACH
Number of Retail Transactions (average
18
Average Daily Volume (amounts in $ 000
P/S
6
6
International
Number of Retail Transactions (average
daily volume
Bank Trust Company, N.A.
Form
Year
Question
Estimated
DBTCNA Memo
PWM
Estimated
section should reflect
Official Bank Checks
0
E
0
0
0
transactions
Average Incoming
46
E
695
Total
proper ID] Wire
0
E
0
daily volume)
25
's)
140
Wires Transfers
daily volume)
E
73
Average Incoming
EFTA01422176
Average Daily Volume (amounts
thousand dollars
Number of Retail Transactions
daily volume
Average Daily Volume (amounts
thousand dollar volume
Number of Retail Transactions
Total
5
E
3
Average Daily Volume (amounts
Total
23
E
10
Number of Retail Transactions
Average Daily Volume (amounts
Further:
6a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
Argentina-ar
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
0
Average Daily Volume (amounts
Number of Retail Transactions
or V?
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
Islands-vg
1
Average Daily Volume (amounts
Number of Retail Transactions
0
E or V? 0
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
ky
0
EorV? 0
Average Daily Volume (amounts
Number of Retail Transactions
Republic of-ca 0
E or
Average Daily Volume (amounts
Number of Retail Transactions
or V?
0
Average Daily Volume (amounts
Number of Retail Transactions
E
1
Average Daily Volume (amounts
Number of Retail Transactions
in $ 000's)
Average Incoming daily
(average daily volume)
Average Outgoing
in $ 000's)
Average Outgoing daily
(average daily volume)
Before rounding up
E
in $ 000's)
Before rounding up
E
(average daily volume)
Total
in $ 000's)
Total
in $ 000's)
1
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
0
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
1
(average daily volume)
0
in $ 000's)
1
(average daily volume)
in $ 000's)
0
(average daily volume)
in $ 000's)
1
(average daily volume)
E
in $ 000's)
0
(average daily volume)
V? 0
in $ 000's)
0
(average daily volume)
in $ 000's)
0
(average daily volume)
in $ 000's)
1
(average daily volume)
E
1
Australia-au
E
0
Bahamas 0
EorV? 1
Bulgaria
E
1
Brazil-br
E
1
British Virgin
E
0
Cameroon
EorV? 0
Canada-ca
E
1
Cayman Islands-
EorV? 0
China, Peoples
EorV? 0
Denmark 0
EorV? 0
Ecuador 1
E
1
France-fr
EFTA01422177
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
0
Average Daily Volume (amounts
Number of Retail Transactions
E
1
Average Daily Volume (amounts
Number of Retail Transactions
0
E or V? 1
Average Daily Volume (amounts
Number of Retail Transactions
0
E or V? 1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
0
Average Daily Volume (amounts
Number of Retail Transactions
0
E or V? 0
Average Daily Volume (amounts
Number of Retail Transactions
E
1
Average Daily Volume (amounts
Number of Retail Transactions
1
E
0
Average Daily Volume (amounts
Number of Retail Transactions
1
E
1
Average Daily Volume (amounts
Number of Retail Transactions
0
E or V? 0
Average Daily Volume (amounts
Number of Retail Transactions
or V?
0
Average Daily Volume (amounts
Number of Retail Transactions
uk
1
E
1
Average Daily Volume (amounts
Total
in $ 000's)
1
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
2
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
0
(average daily volume)
in $ 000's)
0
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
9
(average daily volume)
E
2
Germany-gm
E
1
Isle of Man
E
1
Ireland-ie
E
1
Italy-it
E
0
Mexico 1
E
1
Netherlands
EorV? 1
New Zealand
EorV? 1
Portugal-pt
E
1
Singapore-sg
E
0
South Africa
in $ 000's)
0
E or V? 0
(average daily volume)
Spain
1
in $ 000's)
2
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
1
(average daily volume)
in $ 000's)
0
(average daily volume)
in $ 000's)
0
(average daily volume)
E
in $ 000's)
E
2
Sweden -se
E
0
Switzerland-sz
E
1
Thailand
EorV? 0
Ukraine 0
EorV? 0
United Kingdom-
2
E
3
E
E
E
E
E
E
E
E
EFTA01422178
F47+F5O+F53+F56+F59+F62+F65+F68+F71+F74+F77+F8O+F83+F86+F89+F92+F95+F98+F101-
+F104+F107+F110+F113+F116+F119+F122+F125+F128+F131=19.0
Total
F48+F51+F54+F57+F6O+F63+F66+F69+F72+F75+F78+F81+F84+F87+F9O+F93+F96+F99+F102-
+F105+F108+F111+F114+F117+F120+F123+F126+F129+F132=30.0
F40-F133=-14.0
F41-F134=-7.0
P/S
7
7
International PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
Further:
7a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
P/S
8
8
Remittance Products
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
Further:
8a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
9
9
Cross-Border ACH
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
Further:
9a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
10
10
Remotely Created Checks.
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
P/S
11
11
Domestic Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
P/S
12
12
International Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
Further:
12a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
13
13
Bulk Cash/Currency Repatriation
Number of Retail Transactions (average daily volume)
0
0
Average Daily Volume (amounts in $ 000's)
0
E
0
Further:
13a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
14
14
Prepaid Cards:
14a
14a
Prepaid Cards - Reloadable
New 2012
EFTA01422179
Number of Retail Transactions (average daily volume)
New 2012
0
E
0
E
Average Daily Volume (amounts in $ 000's)
New 2012
0
E
0
E
14b
14b
Prepaid Cards - Non-Reloadable
New 2012
Number of Retail Transactions (average daily volume)
New 2012
0
E
0
E
Average Daily Volume (amounts in $ 000's)
New 2012
0
E
0
E
Products/Services - Accounts: (Data for this section should reflect all
accounts on record at the bank as of 9/30.)
P/S
15
15
Loans Secured by Cash Collateral
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
P/S
16
16
Prepaid Card Programs - Third Party Sponsored:
16a
16a
Prepaid Card Programs
Third Party Sponsored - Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
E
0
E
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
E
16b
16b
Prepaid Card Programs
Third Party Sponsored - Non-Reloadable: New 2012
Total Number of Accounts (actual number) New 2012
0
E
0
E
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
E
P/S
17
17
Prepaid Card Programs - Bank Sponsored:
17a
17a
Prepaid Card Programs
Bank Sponsored - Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
E
0
E
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
E
17b
17b
Prepaid Card Programs
Bank Sponsored - Non-Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
E
0
E
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
E
0
E
P/S
18
18
Prepaid Cardholders
18a
18a
Prepaid Cardholders - Reloadable:
New 2012
Total Number of Accounts (actual number) See 2011 15, 16, 17
0
E
0
E
Total Outstanding Balances (amounts in $ 000's) See 2011 payroll cards,
stored value...
0
E
0
E
18b
18b
Prepaid Cardholders - Non-Reloadable:
New 2012
Total Number of Accounts (actual number) See 2011 15, 16, 17
0
E
0
E
Total Outstanding Balances (amounts in $ 000's) See 2011 payroll cards,
stored value...
0
E
0
E
EFTA01422180
P/S
19
19
International Branches
Total Number of Accounts (actual number) 2011, this was named
"International Branch
0
E
0
E
Total Outstanding Balances (amounts in $ 000's) Facility"
E
0
E
Further:
19a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
20
20
Foreign Correspondent Accts
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
20a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
21
21
Payable Through Accts
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
21a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
22
22
Pouch Services
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
22a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
23
23
Foreign Banking Affiliate (e.g., Parallel Banks)
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
23a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
24
24
International Department
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
24a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
25
25
Domestic Private Banking
Total Number of Accounts (actual number) From call report
'RC-T Back
Up-20131 1C21=2708.0
V
2698
V
Total Outstanding Balances (amounts in $ 000's)
From call
report 'RC-T Back Up-2013'!C22=7741051.0
V
7232328 V
P/S
26
26
International Private Banking
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
25a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
27
27
Embassy & Consulate Banking
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
26a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
28
28
Trust Department Accounts - Charitable Trust &
Foundations - Domestic Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
'RC-T Back Up-2013'!C23=77.0
V
78
V
0
EFTA01422181
Total Outstanding Balances (amounts in $ 000's)
From call
report 'RC-T Back Up-2013'!C24=512693.0
V
481894 V
P/S
29
29
Trust Department Accounts - Charitable Trust &
Foundations - Foreign Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
E
0
V
Total Outstanding Balances (amounts in $ 000's) 0
E
0
V
Further:
29a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
30
30
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Custodial Accts
Total Number of Accounts (actual number) From call report
'RC-T Back
Up-2013' IC25=23.0
V
23
E
Total Outstanding Balances (amounts in $ 000's) 'RC-T Back Up-2013'!-
C26=88762.0
V
96850
E
P/S
31
31
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Investment Advisory Accts
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 4769
E
4348
E
P/S
32
32
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Revocable Trusts
Total Number of Accounts (actual number) 55
E
59
E
Total Outstanding Balances (amounts in $ 000's) 123906 E
120239 E
P/S
33
33
Foreign Grantor or Beneficiaries
Total Number of Accounts (actual number) 71
E
74
E
Total Outstanding Balances (amounts in $ 000's) 188669 E
175059 E
P/S
34
34
Loans or Closely Held Corporations
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
35
35
Domestic Commercial Letters of Credit:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
36
36
International Commercial Letters of Credit -
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
36a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
37
37
Stand-by Letters of Credit
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
38
38
Brokerage Department/Operations
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
P/S
39
39
Investment Advisory/Management
Total Number of Accounts (actual number) From call report
'RC-T Back
Up-20131 1C27=52.0
V
57
V
Total Outstanding Balances (amounts in $ 000's) 'RC-T Back Up-2013'!-
C28=113437.0
V
148530 V
Customers: (Data for this section should reflect all customers on record at
the bank as of 9/30.)
EFTA01422182
C
40
40
Non-Resident Alien Accts
Total Number of Accounts (actual number) 71
E
74
Total Outstanding Balances (amounts in $ 000's) 188669 E
175059 E
Further:
40a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) Argentina
4
4
Total Outstanding Balances (amounts in $ 000's) 5204
E
4727
E
Total Number of Accounts (actual number) Australia-as
3
3
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
1
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
3
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
E
1
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
3
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
1
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
1
000's) 1291
E
Bermuda-bd
1
000's) 2364
E
Bulgaria
3
000's) 330
Virgin Islands (US)
1
1333
E
E
2156
E
E
315
000's) 1935
Canada 7
000's) 12216
France 9
000's) 18838
Germany 1
000's) 1705
Greece 1
000's) 26
Hungary 1
000's) 1425
Ireland 2
000's) 1280
Isle of Man
E
1648
E
7
E
10809
E
9
E
17795
E
1
E
1566
E
1
E
22
E
1
E
1379
E
2
E
1084
3
000's) 41762
E
41722
Israel 1
E
1
000's) 240
E
229
Italy
1
E
1
000's) 477
E
456
Mexico 1
E
1
000's) 1186
E
1062
New Zealand
1
000's) 756
E
670
Peru
1
E
1
000's) 1054
E
975
Russia 2
E
2
000's) 187
E
179
Singapore-sn
1
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
Total Outstanding Balances (amounts in $ 000's) 7481
E
6946
E
EFTA01422183
Total Number of Accounts (actual number) Sweden 1
E
1
E
Total Outstanding Balances (amounts in $ 000's) 556
E
492
E
Total Number of Accounts (actual number) Switzerland
2
E
2
Total Outstanding Balances (amounts in $ 000's) 24930
E
22816
E
Total Number of Accounts (actual number) United Kingdom
27
24
Total Outstanding Balances (amounts in $ 000's) 63426
E
56678
E
Total Number of Accounts (actual number) Total Check
F332+F335+F338+F341+F344+F347+F350+F353+F356+F359+F362+F365+F368+F371+F374+F-
377+F380+F383+F386+F389+F392+F395=71.0
H332+H335+H338+H341+H344+H347+H350+H353+H356+H359+H362+H365+H368+H371+H374+H-
377+H380+H383+H386+H389+H392+H395=74.0
Total Outstanding Balances (amounts in $ 000's)
F333+F336+F339+F342+F345+F348+F351+F354+F357+F360+F363+F366+F369+F372+F375+F-
378+F381+F384+F387+F390+F393+F396=188669.0
H333+H336+H339+H342+H345+H348+H351+H354+H357+H360+H363+H366+H369+H372+H375+H-
378+H381+H384+H387+H390+H393+H396=175059.0
Compare check
F398-F328=0.0
H401-H330=0.0
Compare check
F399-F329=0.0
H399-H329=0.0
C
41
41
Politically Exposed Persons
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
E
0
Further:
41a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) China, Peoples Republic of-ca
E or V? 0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Memo item only; not part
of...
United States-us
12
E
13
Total Outstanding Balances (amounts in $ 000's) Memo item only; not part
of response
31606
E
38724
E
C
42
42
Foreign Off-Shore Corporations
Total Number of Accounts (actual number) 0
E
0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
42a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) Bermuda-bd
0
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) British Virgin Islands (UK)-vi
0
E or V? 0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Netherlands Antilles-an 0
or V?
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Singapore-sn
0
E or V?
0
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
Total Number of Accounts (actual number) Total Check
0
E or V?
0
E
0
E or V?
EFTA01422184
Total Outstanding Balances (amounts in $ 000's) 0
E or V? 0
E
C
43
43
Money Service Business (MSB) - Domestic Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
44
44
Money Service Business (MSB) - Foreign Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
44a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
45
45
Money Service Business (MSB) - Money Transmitters
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
46
46
Money Service Business (MSB) - Check Cashers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
47
47
Money Service Business (MSB) - Issuers or Sellers
of Traveler checks or Money Orders
Total Number of Accounts (actual number) slightly different wording for
2011- NA
0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
48
48
Money Service Business (MSB) - Providers of Prepaid
Access:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
49
49
Money Service Business (MSB) - Sellers of Prepaid
Access:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
50
50
Convenience Stores
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
51
51
Liquor Stores
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
52
52
Customers/Accts opened through the Internet, Mails,
Wire, or Phone (non-branch)
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
53
53
Domestic Deposit Brokers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
54
54
Foreign Deposit Brokers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
54a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
55
55
Domestic Charitable Organizations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
'RC-T Back Up-2013'!C23=77.0
V
78
V
EFTA01422185
Total Outstanding Balances (amounts in $ 000's)
From call
report 'RC-T Back Up-2013'!C24=512693.0
V
481894 V
C
56
56
Foreign Charitable Organizations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
E
0
V
Total Outstanding Balances (amounts in $ 000's) 0
E
0
V
Further:
56a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
57
57
Jewelry, Gem, and Precious Metal Dealers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
58
58
Travel Agencies
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
59
59
Casinos
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
60
60
Import/Export
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
61
61
Broker Dealers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
62
62
Telemarketers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
63
63
Car Dealers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
64
64
Boat/Airplane
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
65
65
Remotely Created Check Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
66
66
Domestic Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
C
67
67
Foreign Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
68
68
Bulk Cash/Currency Repatriation Customers
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
69
69
Third Party Senders
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
EFTA01422186
C
70
70
Prepaid Card Program Managers:
Total Number of Accounts (actual number) 0
E
0
E
Total Outstanding Balances (amounts in $ 000's) 0
E
0
E
For internal use only
EFTA01422187
RC-T Back Up-2013
Schedule RC-T -- Fiduciary and Related Services
As reported 9/30/13
(Column A)
(Column B)
(Column C)
(Column D)
FIDUCIARY AND RELATED ASSETS
Dollar Amounts in Thousands
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
4.
Personal trust and agency accounts
4601095 2321156 2253
285
5.
Employee benefit and retirement-related trust
5. a.
Employee benefit -- defined contribution 0
5. b.
Employee benefit -- defined benefit
0
5. c.
Other employee benefit and retirement-related
91486
13
5
6.
Corporate trust and agency accounts
7.
Investment management and investment advisory agency accounts
113437 0
52
0
8.
Foundation and endowment trust and agency accounts
512684
9
76
1
9.
Other fiduciary accounts
10.
Total fiduciary accounts (sum of items 4 though 9)
SUM(C6:C14)=5239638.0
SUM(D6:D14)=2412651.0
SUM(E6:E14)=2394.0
SUM(F6:F14)=291.0
11.
Custody and safekeeping accounts
88762
23
12.
Fiduciary accounts held in foreign offices (included in items 10
and 11)
13.
Individual Retirement Accounts, Health Savings Accounts, and other
similar accounts (included in items 5.c and 11)
Amount Formula
25
Number of accounts [Domestic Private Banking]
SUM(E15:F15)+F16=2708.0 =SUM(E15:F15)+F16
25
Dollars (in thousands)
SUM(C15:D15)+D16=7741051.0
=SUM(C15:D15)+D16
28 & 55 Number of accounts [Domestic Charitable Trusts & Foundations /
Domestic Charitable Orgs]
SUM(E13:F13)=77.0
=SUM(E13:F13)
28 & 55 Dollars (in thousands)
Domestic Charitable Orgs]
30
Number of accounts
30
Dollars (in thousands)
39
Number of accounts
39
Dollars (in thousands)
For internal use only
and agency accounts:
0
0
0
0
0
0
accounts
12422
[Domestic Charitable Trusts & Foundations /
SUM(C13:D13)=512693.0
=SUM(C13:D13)
F16=23.0
=F16
D16=88762.0
=D16
SUM(E12:F12)=52.0
=SUM(E12:F12)
SUM(C12:D12)=113437.0
=SUM(C12:D12)
EFTA01422188
DBTCNA as of 9-30-2012
&9
G:\NA\OCC\AML-BSA Risk Survey\
As of 2011-09-30\
&F
&"Arial,Bold"&12Deutsche
BSA/AML Quantity of Risk Summary
&A
&9Page &P
0
No.
P/Y
/Verified
Products/Services -
Transactions: (Data for this section
averages for the previous 12 months as of 9/30.)
P/S
1
1
Issuance of Traveler's Checks,
& Money Orders
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
2
2
International Bank Drafts
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
2a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
3
3
Domestic Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
Average Daily Volume (amounts
thousand dollars
Number of Retail Transactions
daily volume
Average Daily Volume (amounts
thousand dollar volume
Number of Retail Transactions (average daily volume)
51
Average Daily Volume (amounts in $ 000's)
695
Number of Retail Transactions (average daily volume)
Total
Average Daily Volume (amounts in $ 000's)
Total
P/S
4
4
Domestic PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
5
5
ACH
Number of Retail Transactions (average daily volume)
18
Average Daily Volume (amounts in $ 000's)
73
P/S
6
6
International Wires Transfers
Number of Retail Transactions (average daily volume)
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
daily volume
Average Daily Volume (amounts in $ 000's)
thousand dollar volume
Number of Retail Transactions (average daily volume)
Bank Trust Company, N.A.
Form
Question
DBTCNA Memo
PWM
Estimated
should reflect
Official Bank Checks
E
E
in $ 000's)
Average Incoming daily
(average daily volume)
Average Outgoing
in $ 000's)
Average Outgoing daily
E
E
Average Incoming
Average Outgoing
Average Outgoing daily
Before rounding up
EFTA01422189
Total
3
Average Daily Volume (amounts in $ 000's)
Before rounding up
Total
10
Number of Retail Transactions (average daily volume)
Total
Average Daily Volume (amounts in $ 000's)
Total
Further:
6a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
Australia-au
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Austria 0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
Bahamas 1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Bulgaria
1
Average Daily Volume (amounts
Number of Retail Transactions
1
Average Daily Volume (amounts
Number of Retail Transactions
Islands-vg
0
Average Daily Volume (amounts
Number of Retail Transactions
0
Average Daily Volume (amounts
Number of Retail Transactions
1
Average Daily Volume (amounts
Number of Retail Transactions
ky
0
Average Daily Volume (amounts
Number of Retail Transactions
Republic of-ca 0
Average Daily Volume (amounts
Number of Retail Transactions
Average Daily Volume (amounts
Number of Retail Transactions
Average Daily Volume (amounts
Number of Retail Transactions
1
Average Daily Volume (amounts
Number of Retail Transactions
1
Average Daily Volume (amounts
Number of Retail Transactions
1
Average Daily Volume (amounts
Number of Retail Transactions
1
Average Daily Volume (amounts
in $ 000's)
(average daily
Brazil-br
in $ 000's)
(average daily
British Virgin
in $ 000's)
(average daily
E
Cameroon
in $ 000's)
(average daily
Canada-ca
in $ 000's)
(average daily
Cayman Islands-
in $ 000's)
(average daily
China, Peoples
in $ 000's)
(average daily
in $ 000's)
(average daily
in $ 000's)
(average daily
in $ 000's)
(average daily
in $ 000's)
(average daily
in $ 000's)
(average daily
in $ 000's)
1
volume)
1
volume)
0
volume)
0
volume)
1
volume)
0
volume)
0
volume)
Denmark 0
0
volume)
Ecuador 1
1
volume)
France-fr
2
volume)
Germany-gm
1
volume)
Isle of Man
1
volume)
Ireland-ie
1
E
E
E
EFTA01422190
Number of Retail Transactions (average daily volume)
Israel-is
0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
Mexico 1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Netherlands
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
New Zealand
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Puerto Rico
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Singapore-sg
0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
South Africa
0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
Spain
1
Average Daily Volume (amounts in $ 000's)
2
Number of Retail Transactions (average daily volume)
Sweden -se
0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
Switzerland-sz
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Thailand
0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
Ukraine 0
Average Daily Volume (amounts in $ 000's)
0
Number of Retail Transactions (average daily volume)
United Kingdom-
uk
1
Average Daily Volume (amounts in $ 000's)
3
P/S
7
7
International PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
7a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
8
8
Remittance Products
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
8a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
9
9
Cross-Border ACH
Number of Retail Transactions (average daily volume)
0
EFTA01422191
Average Daily Volume (amounts in $ 000's)
0
Further:
9a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
10
10
Remotely Created Checks.
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
11
11
Domestic Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
12
12
International Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
12a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
13
13
Bulk Cash/Currency Repatriation
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
13a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
14
NA
Prepaid Cards:
14a
NA
Prepaid Cards - Reloadable
New 2012
Number of Retail Transactions (average daily volume)
New 2012
0
Average Daily Volume (amounts in $ 000's)
New 2012
0
14b
NA
Prepaid Cards - Non-Reloadable
New 2012
Number of Retail Transactions (average daily volume)
New 2012
0
Average Daily Volume (amounts in $ 000's)
New 2012
0
Products/Services - Accounts: (Data for this section should reflect all
accounts on record at the bank as of 9/30.)
P/S
15
14
Loans Secured by Cash Collateral
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
16
NA
Prepaid Card Programs - Third Party Sponsored:
16a
NA
Prepaid Card Programs
Third Party Sponsored - Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
16b
NA
Prepaid Card Programs
Third Party Sponsored - Non-Reloadable: New 2012
Total Number of Accounts (actual number) New 2012
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
P/S
17
NA
Prepaid Card Programs - Bank Sponsored:
17a
NA
Prepaid Card Programs
Bank Sponsored - Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
17b
NA
Prepaid Card Programs
Bank Sponsored - Non-Reloadable:
New 2012
Total Number of Accounts (actual number) New 2012
0
Total Outstanding Balances (amounts in $ 000's)
New 2012
0
EFTA01422192
P/S
18
NA
Prepaid Cardholders
18a
NA
Prepaid Cardholders - Reloadable:
New 2012
Total Number of Accounts (actual number) See 2011 15, 16, 17
0
Total Outstanding Balances (amounts in $ 000's) See 2011 payroll cards,
stored value...
0
18b
NA
Prepaid Cardholders - Non-Reloadable:
New 2012
Total Number of Accounts (actual number) See 2011 15, 16, 17
0
Total Outstanding Balances (amounts in $ 000's) See 2011 payroll cards,
stored value...
0
P/S
19
18
International Branches
Total Number of Accounts (actual number) 2011, this was named
"International Branch
0
Total Outstanding Balances (amounts in $ 000's) Facility"
0
Further:
19a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
20
19
Foreign Correspondent Accts
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
20a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
21
20
Payable Through Accts
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
21a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
22
21
Pouch Services
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
22a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
23
22
Foreign Banking Affiliate (e.g., Parallel Banks)
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
23a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
24
23
International Department
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
24a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
25
24
Domestic Private Banking
Total Number of Accounts (actual number) From call report
2698
V
Total Outstanding Balances (amounts in $ 000's)
From call report
7232328 V
P/S
26
25
International Private Banking
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
25a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
27
26
Embassy & Consulate Banking
Total Number of Accounts (actual number) 0
EFTA01422193
Total Outstanding Balances (amounts in $ 000's) 0
Further:
26a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
28
27
Trust Department Accounts - Charitable Trust &
Foundations - Domestic Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
78
V
Total Outstanding Balances (amounts in $ 000's)
From call report
481894 V
P/S
29
28
Trust Department Accounts - Charitable Trust &
Foundations - Foreign Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
V
Total Outstanding Balances (amounts in $ 000's) 0
V
Further:
29a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
30
29
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Custodial Accts
Total Number of Accounts (actual number) From call report
23
Total Outstanding Balances (amounts in $ 000's) 96850
E
P/S
31
30
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Investment Advisory Accts
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
1
Total Outstanding Balances (amounts in $ 000's) 4348
P/S
32
31
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Revocable Trusts
Total Number of Accounts (actual number) 59
Total Outstanding Balances (amounts in $ 000's) 120239 E
P/S
33
32
Foreign Grantor or Beneficiaries
Total Number of Accounts (actual number) 74
Total Outstanding Balances (amounts in $ 000's) 175059 E
P/S
34
33
Loans or Closely Held Corporations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
35
35
Domestic Commercial Letters of Credit:
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
36
36
International Commercial Letters of Credit -
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
36a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
37
37
Stand-by Letters of Credit
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
38
38
Brokerage Department/Operations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
39
39
Investment Advisory/Management
Total Number of Accounts (actual number) From call report
57
V
EFTA01422194
Total Outstanding Balances (amounts in $ 000's) 148530 V
Customers: (Data for this section should reflect all customers on record at
the bank as of 9/30.)
C
40
40
Non-Resident Alien Accts
Total Number of Accounts (actual number) 74
Total Outstanding Balances (amounts in $ 000's) 175059 E
Further:
40a. Geographical Focus: If there are foreign
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) Argentina
4
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
000's) 4727
Australia-as
000's) 1333
Bermuda-bd
000's) 2156
Bulgaria
000's) 315
Virgin Islands
000's) 1648
Canada 7
000's) 10809
France 9
000's) 17795
Germany 1
000's) 1566
Greece 1
000's) 22
Hungary 1
000's) 1379
Ireland 2
000's) 1084
Isle of Man
000's) 41722
Israel 1
000's) 229
Italy
1
000's) 456
Mexico 1
000's) 1062
New Zealand
000's) 670
Peru
1
000's) 975
Russia 2
000's) 179
Singapore-sn
000's) 6946
Sweden 1
000's) 492
Switzerland
000's) 22816
United Kingdom
E
3
E
E
E
US)
1
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
27
transactions
EFTA01422195
Total Outstanding Balances (amounts in $ 000's) 56678
E
Total Number of Accounts (actual number) Total Check
74
Total Outstanding Balances (amounts in $ 000's) 175059
C
41
41
Politically Exposed Persons
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
41a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) China, Peoples Republic of-ca
0
Total Outstanding Balances (amounts in $ 000's) 0
Total Number of Accounts (actual number) United States-us
13
Total Outstanding Balances (amounts in $ 000's) 38724
E
C
42
42
Foreign Off-Shore Corporations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
42a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number) Bermuda-bd
0
Total Outstanding Balances (amounts in $ 000's) 0
Total Number of Accounts (actual number) British Virgin Islands (UK)-vi
0
Total Outstanding Balances (amounts in $ 000's) 0
Total Number of Accounts (actual number) Netherlands Antilles-an 0
Total Outstanding Balances (amounts in $ 000's) 0
Total Number of Accounts (actual number) Singapore-sn
0
Total Outstanding Balances (amounts in $ 000's) 0
Total Number of Accounts (actual number) Total Check
0
Total Outstanding Balances (amounts in $ 000's) 0
C
43
43
Money Service Business (MSB) - Domestic Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
44
44
Money Service Business (MSB) - Foreign Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
44a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
45
45
Money Service Business (MSB) - Money Transmitters
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
46
46
Money Service Business (MSB) - Check Cashers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
47
47
Money Service Business (MSB) - Issuers or Sellers
of Traveler checks or Money Orders
Total Number of Accounts (actual number) slightly different wording for
2011- NA
0
Total Outstanding Balances (amounts in $ 000's) 0
C
48
48
Money Service Business (MSB) - Providers of Prepaid
EFTA01422196
Access:
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
49
48
Money Service Business (MSB) - Sellers of Prepaid
Access:
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
50
49
Convenience Stores
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
51
50
Liquor Stores
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
52
51
Customers/Accts opened through the Internet, Mails,
Wire, or Phone (non-branch)
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
53
52
Domestic Deposit Brokers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
54
53
Foreign Deposit Brokers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
54a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
55
54
Domestic Charitable Organizations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
78
V
Total Outstanding Balances (amounts in $ 000's)
From call report
481894 V
C
56
55
Foreign Charitable Organizations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
0
V
Total Outstanding Balances (amounts in $ 000's) 0
V
Further:
56a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
57
56
Jewelry, Gem, and Precious Metal Dealers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
58
57
Travel Agencies
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
59
58
Casinos
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
60
59
Import/Export
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
61
60
Broker Dealers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
EFTA01422197
C
62
61
Telemarketers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
63
62
Car Dealers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
64
63
Boat/Airplane
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
65
64
Remotely Created Check Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
66
65
Domestic Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
67
66
Foreign Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
68
67
Bulk Cash/Currency Repatriation Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
69
68
Third Party Senders
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
70
NA
Prepaid Card Program Managers:
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
For internal use only
EFTA01422198
RC-T Back Up-2012
Schedule RC-T -- Fiduciary and Related Services
As reported 9/30/12
(Column A)
(Column B)
(Column C)
(Column D)
FIDUCIARY AND RELATED ASSETS
Dollar Amounts in Thousands
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
4.
Personal trust and agency accounts
4902629 1499563 2326
196
5.
5. a.
5. b.
5. c.
Employee benefit and retirement-related trust and agency
Employee benefit -- defined contribution 0
0
Employee benefit -- defined benefit
0
0
Other employee benefit and retirement-related accounts
89015
14
4
6.
Corporate trust and agency accounts
7.
Investment management and investment advisory agency accounts
148530 0
57
0
8.
Foundation and endowment trust
113
77
1
9.
Other fiduciary accounts
10.
Total fiduciary accounts (sum of items 4 though 9)
SUM(C6:C14)=5546787.0
SUM(D6:D14)=1588691.0
SUM(E6:E14)=2474.0
SUM(F6:F14)=201.0
11.
Custody and safekeeping accounts
96850
23
12.
Fiduciary accounts held in foreign offices (included in items 10
and 11)
13.
Individual Retirement Accounts, Health Savings Accounts, and other
similar accounts (included in items 5.c and 11) 11365
1246
12
1
25
Number of accounts
SUM(E15:F15)+F16=2698.0 =SUM(E15:F15)+F16
25
Dollars (in thousands)
SUM(C15:D15)+D16=7232328.0
=SUM(C15:D15)+D16
28 & 55 Number of accounts
28 & 55 Dollars (in thousands)
30
Number of accounts
30
Dollars (in thousands)
39
Number of accounts
39
Dollars (in thousands)
For internal use only
and agency accounts
481781
SUM(E13:F13)=78.0
SUM(C13:D13)=481894.0
F16=23.0
=F16
D16=96850.0
=D16
SUM(E12:F12)=57.0
SUM(C12:D12)=148530.0
accounts:
0
0
0
0
13847
=SUM(E13:F13)
=SUM(C13:D13)
=SUM(E12:F12)
=SUM(C12:D12)
EFTA01422199
DBTCNA as of 9-30-2011
&9
G:\NA\OCC\AML-BSA Risk Survey\
As of 2011-09-30\
&F
&"Arial,Bold"&12Deutsche Bank Trust Company, N.A.
BSA/AML Quantity of Risk Summary Form
&A
&9Page &P
Cat.
No.
P/Y
Question
DBTCNA Memo
PWM
Estimated
/Verified
Products/Services -
Transactions: (Data for this section should reflect
averages for the previous 12 months as of 9/30.)
P/S
1
1
Issuance of Traveler's Checks, Official Bank Checks
& Money Orders
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
2
2
International Bank Drafts
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
2a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
3
3
Domestic Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
50
Average Daily Volume (amounts in $ 000's)
898
Number of Retail Transactions (average daily volume)
Total
50
Average Daily Volume (amounts in $ 000's)
Total
898
P/S
4
4
Domestic PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
5
5
ACH
Number of Retail Transactions (average daily volume)
16
Average Daily Volume (amounts in $ 000's)
72
P/S
6
6
International Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
1
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
1
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
2
Average Daily Volume (amounts in $ 000's)
Average Outgoing daily
thousand dollar volume
8
Number of Retail Transactions (average daily volume)
Before rounding up
EFTA01422200
Total
E? or V?
Average Daily Volume (amounts in $ 000's)
Before rounding up
Total
E? or V?
Number of Retail Transactions (average daily volume)
Total
E? or V?
Average Daily Volume (amounts in $ 000's)
Total
E? or V?
Further:
6a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
Australia - au
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Bahamas The-bs
1
Average Daily Volume (amounts in $ 000's)
2
Number of Retail Transactions (average daily volume)
Bulgaria-bg
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Canada-ca
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Ecuador-ec
1
Average Daily Volume (amounts in $ 000's)
2
Number of Retail Transactions (average daily volume)
France-fr
1
Average Daily Volume (amounts in $ 000's)
2
Number of Retail Transactions (average daily volume)
Ireland-ie
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Mexico-mx
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Puerto Rico-pr
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Spain-es
1
Average Daily Volume (amounts in $ 000's)
2
Number of Retail Transactions (average daily volume)
Switzerland-ch
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
United Kingdom-
gb
1
Average Daily Volume (amounts in $ 000's)
3
P/S
7
7
International PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
7a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
EFTA01422201
P/S
8
8
Remittance Products
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
8a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
9
9
Cross-Border ACH
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
9a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
10
10
Remotely Created Checks.
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
11
11
Domestic Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
12
12
International Remote Deposit Capture
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
12a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
13
13
Bulk Cash/Currency Repatriation
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
13a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Products/Services - Accounts: (Data for this section should reflect all
accounts on record at the bank as of 9/30.)
P/S
14
14
Loans Secured by Cash Collateral
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
15
15
Payroll Cards
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
16
16
Prepaid Access Sold by the Bank - Reloadable
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
17
17
Prepaid Access Sold by the Bank - Non-Reloadable
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
18
18
International Branches
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
18a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
19
19
Foreign Correspondent Accts
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
19a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
20
20
Payable Through Accts
EFTA01422202
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
20a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
21
21
Pouch Services
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
21a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
22
22
Foreign Banking Affiliate (e.g., Parallel Banks)
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
22a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
23
23
International Department
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
23a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
24
24
Domestic Private Banking
Total Number of Accounts (actual number) 2752
V
Total Outstanding Balances (amounts in $ 000's) 6192977 V
P/S
25
25
International Private Banking
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
25a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
26
26
Embassy & Consulate Banking
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
26a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
27
27
Trust Department Accounts - Charitable Trust &
Foundations - Domestic Charitable Trust & Foundations
Total Number of Accounts (actual number) Assumes all RC-T accounts are
domestic
55
V
Total Outstanding Balances (amounts in $ 000's) 435362 V
P/S
28
28
Trust Department Accounts - Charitable Trust &
Foundations - Foreign Charitable Trust & Foundations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
28a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
29
29
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Custodial Accts
Total Number of Accounts (actual number) Number of CTOL accounts
Total Outstanding Balances (amounts in $ 000's) Dollar total (thousands)
of CTOL accounts
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $ 000's)
Total Number of Accounts (actual number) 25
EFTA01422203
Total Outstanding Balances (amounts in $ 000's) 99352
Total Number of Accounts (actual number) V
Total Outstanding Balances (amounts in $ 000's)
V
P/S
30
30
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Investment Advisory Accts
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
31
31
Trust Department Accounts - Customer Directed Accts
(non-discretionary) - Revocable Trusts
Total Number of Accounts (actual number) 61
Total Outstanding Balances (amounts in $ 000's) 132086 E
P/S
32
32
Foreign Grantor or Beneficiaries
Total Number of Accounts (actual number) 75
Total Outstanding Balances (amounts in $ 000's) 174606 E
P/S
33
33
Loans or Closely Held Corporations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
34
34
PSC REMOVED fy 2010
P/S
35
35
Domestic Commercial Letters of Credit:
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
36
36
International Commercial Letters of Credit:
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
36a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
P/S
37
37
Stand-by Letters of Credit
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
38
38
Brokerage Department/Operations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
P/S
39
39
Investment Advisory/Management
Total Number of Accounts (actual number) 55
V
Total Outstanding Balances (amounts in $ 000's) 141600 V
Customers: (Data for this section should reflect all customers on record at
the bank as of 9/30.)
C
40
40
Non-Resident Alien Accts
Total Number of Accounts (actual number) 75
Total Outstanding Balances (amounts in $ 000's) 174605 E
Further:
40a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
Total Outstanding Balances (amounts in $
Total Number of Accounts (actual number)
United Kingdom-uk
000's) 54387
E
France-fr
10
000's) 29496
E
Switzerland-sz 2
000's) 21293
E
Man, Isle of (UK)-im
000's) 41426
E
Canada-ca
7
27
E
E
EFTA01422204
Total
Total
Total
Total
Total
Total
1
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Total
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
E
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
Outstanding Balances (amounts in $
Number of Accounts (actual number)
000's) 10031
E
Bermuda-bd
1
000's) 2016
E
Argentina-ar
4
000's) 4401
E
British Virgin Islands (UK)-vi
000's) 1602
Germany-gm
000's) 1476
Morocco-mo
000's) 1444
Russia-rs
000's) 171
Mexico-mx
000's) 984
Hungary-hu
000's) 1312
Australia-as
000's) 1233
Sweden-sw
000's) 451
Ireland-ie
000's) 1000
Peru-pe 1
000's) 925
Bulgaria-bu
000's) 296
Portugal-po
000's) 0
Israel-is
000's) 214
Italy-it
000's) 427
Austria-au
000's) 0
Bahamas, The
000's) 0
Greece-gr
000's) 20
Total Check
+F256+F259+F262+F265+F268+F271+F274+F277+F280+F283+F286+F289+F292+F295+F298+-
F301+F304+F307+F310+F313+F316+F319+F322+F325=75.0
Total Outstanding Balances (amounts in $ 000's)
+F257+F260+F263+F266+F269+F272+F275+F278+F281+F284+F287+F290+F293+F296+F299+-
F302+F305+F308+F311+F314+F317+F320+F323+F326=174605.0
Total Number of Accounts (actual number) Over(Short)
Total Outstanding Balances (amounts in $ 000's)
C
41
41
Politically Exposed Persons
Total Number of Accounts (actual number) 0
you include US PEPs.
E
1
E
E
E
E
E
E
E
E
E
E
E
E
E
E
E
-bf 0
E
E
**There are 13 if
EFTA01422205
Total Outstanding Balances (amounts in $ 000's) 0
Further:
41a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
42
42
Foreign Off-Shore Corporations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
42a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
43
43
Money Service Business (MSB) - Domestic Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
44
44
Money Service Business (MSB) - Foreign Casa de
Cambios/Currency Exchange
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
44a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
45
45
Money Service Business (MSB) - Money Transmitters
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's)
C
46
46
Money Service Business
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's)
C
47
47
Money Service Business
Redeemer of Traveler checks and money orders
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's)
C
48
48
Money Service Business
Redeemer of Prepaid Access
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
49
49
Convenience Stores
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
50
50
Liquor Stores
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
51
51
Customers/Accts opened through the Internet, Mail,
Wire, or Phone (non-branch)
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
52
52
Domestic Deposit Brokers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
53
53
Foreign Deposit Brokers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
53a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
54
54
Domestic Charitable Organizations
0
(MSB) - Check Cashers
E
(MSB) - Seller/Issuer/-
E
0
(MSB) - Seller/Issuer/-
E
EFTA01422206
Total Number of Accounts (actual number) 55
V
Total Outstanding Balances (amounts in $ 000's) 435362 V
C
55
55
Foreign Charitable Organizations
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
55a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
56
56
Jewelry, Gem, and Precious Metal Dealers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
57
57
Travel Agencies
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
58
58
Casinos
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
59
59
Import/Export
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
60
60
Broker Dealers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
61
61
Telemarketers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
62
62
Car Dealers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
63
63
Boat/Airplane
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
64
64
Remotely Created Check Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
65
65
Domestic Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
C
66
66
Foreign Remote Deposit Capture Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
66a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
67
67
Bulk Cash/Currency Repatriation Customers
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
Further:
67a. Geographical Focus: If there are foreign transactions
involved, enter information for all applicable geographies.
C
68
68
Third Party Senders
Total Number of Accounts (actual number) 0
Total Outstanding Balances (amounts in $ 000's) 0
For internal use only
EFTA01422207
EFTA01422208
RC-T Back Up-2011
Schedule RC-T -- Fiduciary and Related Services
Before Double Counting
Double Counting Final for Report
(Column A)
(Column B)
(Column C)
(Column D)
(Column
A)
(Column B)
(Column C)
(Column D)
(Column A)
(Column B)
(Column C)
(Column D)
FIDUCIARY AND RELATED ASSETS
Dollar Amounts in Thousands
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
Managed Assets
Non-Managed Assets
Number of Managed
Accounts
Number of Non-Managed Accounts
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
4.
Personal trust and agency accounts
3523058 47329
2162
68
1097657 755447 218
129
C6+H6=4620715.0 06+I6=802776.0
E6+36=2380.0
F6+K6=197.0
5.
Employee benefit and retirement-related trust and agency accounts:
5. a.
Employee benefit -- defined contribution C8+H8=0.0
D8+I8=0.0
E8+38=0.0
F8+K8=0.0
5. b.
Employee benefit -- defined benefit
C9+H9=0.0
D9+I9=0.0
E9+39=0.0
F9+K9=0.0
5. c.
Other employee benefit and retirement-related accounts
12834
482
13
2
79856
1
C1O+H10=12834.0 010+I10=80338.0
El0+310=13.0
F1O+K10=3.0
6.
Corporate trust and agency accounts
C11+H11=0.0
D11+I11=0.0
Ell+J11=0.0
F11+K11=0.0
7.
Investment management and investment advisory agency accounts
141600 55
C12+H12=141600.0
D12+I12=0.0
E12+J12=55.0
F12+K12=0.0
8.
Foundation and endowment trust and agency accounts
435334
78
28
1
C13+H13=435334.0
D13+I13=28.0
El3+313=78.0
F13+K13=1.0
9.
Other fiduciary accounts
C14+H14=0.0
014+I14=0.0
El4+.714=0.0
F14+K14=0.0
10.
Total fiduciary accounts (sum of items 4 though 9)
SUM(C6:C14)=4112826.0
SUM(D6:D14)=47811.0
SUM(E6:E14)=2308.0
SUM(F6:F14)=70.0
SUM(H6:H14)=1097657.0
SUM(I6:I14)=835331.0
SUM(J6:J14)=218.0
SUM(K6:K14)=131.0
SUM(M6:M14)=5210483.0
SUM(N6:N14)=883142.0
SUM(06:014)=2526.0
SUM(P6:P14)=201.0
11.
Custody and safekeeping accounts
99352
25
D16+I16=99352.0 F16+K16=25.0
12.
Fiduciary accounts held in foreign offices (included in items 10
and 11) C17+H17=0.0
D17+I17=0.0
E17+317=0.0
F17+K17=0.0
13.
Individual Retirement Accounts, Health Savings Accounts, and other
similar accounts (included in items 5.c and 11) 10257
1342
12
1
0
0
0
0
C18+H18=10257.0 D18+I18=1342.0
El8+318=12.0
F18+K18=1.0
Corrected: Before Double Counting
Double Counting Final for Report
(Column A)
(Column B)
(Column C)
(Column D)
(Column
A)
(Column B)
(Column C)
(Column D)
(Column A)
(Column B)
(Column C)
(Column D)
EFTA01422209
FIDUCIARY AND RELATED ASSETS
Dollar Amounts in Thousands
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
Managed Assets
Non-Managed Assets
Number of Managed
Accounts
Number of Non-Managed Accounts
Managed Assets
Non -
Managed Assets
Number of Managed Accounts
Number of Non-Managed
Accounts
4.
Personal trust and agency accounts
4020549 108152 2183
95
1144294 731392 224
117
C22+H22=5164843.0
D22+I22=839544.0
E22+322=2407.0
F22+K22=212.0
5.
Employee benefit and retirement-related trust and agency accounts:
5. a.
Employee benefit -- defined contribution C24+H24=0.0
D24+I24=0.0
E24+324=0.0
F24+K24=0.0
5. b.
Employee benefit -- defined benefit
C25+H25=0.0
D25+I25=0.0
E25+325=0.0
F25+K25=0.0
5. c.
Other employee benefit and retirement-related accounts
13806
323
14
2
89771
1
C26+H26=13806.0 D26+I26=90094.0
E26+326=14.0
F26+K26=3.0
6.
Corporate trust and agency accounts
C27+H27=0.0
D27+I27=0.0
E27+327=0.0
F27+K27=0.0
7.
Investment management and investment advisory agency accounts
160261 0
54
0
C28+H28=160261.0
D28+I28=0.0
E28+328=54.0
F28+K28=0.0
8.
Foundation and endowment trust and agency accounts
476552
0
77
0
39
1
C29+H29=476552.0
D29+I29=39.0
E29+329=77.0
F29+K29=1.0
9.
Other fiduciary accounts
C3O+H30=0.0
D30+I30=0.0
E30+330=0.0
F3O+K30=0.0
10.
Total fiduciary accounts (sum of items 4
SUM(C22:C30)=4671168.0
SUM(D22:D30)=108475.0
SUM(F22:F30)=97.0
SUM(H22:H30)=1144294.0
SUM(J22:J30)=224.0
SUM(K22:K30)=119.0
SUM(N22:N30)=929677.0
SUM(022:030)=2552.0
11.
Custody and safekeeping accounts
D32+I32=101624.0
F32+K32=26.0
12.
Fiduciary accounts held in foreign offices (included in items 10
and 11) C33+H33=0.0
D33+I33=0.0
E33+333=0.0
F33+K33=0.0
13.
Individual Retirement Accounts, Health Savings Accounts, and other
similar accounts (included in items 5.c and 11) 11404
1502
12
1
0
0
0
0
C34+H34=11404.0 D34+I34=1502.0
E34+334=12.0
F34+K34=1.0
24
Number of accounts
SUM(015:P15)+P16=2752.0
24
Dollars (in thousands)
SUM(M15:N15)+N16=6192977.0
27 & 54 Number of accounts
SUM(012:P12)=55.0
28 & 54 Dollars (in thousands)
SUM(M13:N13)=435362.0
29
Number of accounts
P16=25.0
A41=29.0
Dollars (in thousands)
N16=99352.0
39
Number of accounts
SUM(012:P12)=55.0
A43=39.0
Dollars (in thousands)
SUM(M12:N12)=141600.0
For internal use only
though 9)
SUM(E22:E30)=2328.0
SUM(I22:I30)=821202.0
SUM(M22:M30)=5815462.0
SUM(P22:P30)=216.0
101624 26
EFTA01422210
EFTA01422211
DBTCNA as of 9-30-2010
&9
G:\NA\OCC\AML-BSA Risk Survey\
As of 2009-09-30\
&F
&"Arial,Bold"&12Deutsche Bank Trust Company, N.A.
BSA/AML Quantity of Risk Summary Form
&A
&9Page &P
Cat.
No.
P/Y
Question
DBTCNA Memo
PWM
Estimated
/Verified
Products/Services -
Transactions: (Data for this section should reflect
averages for the previous 12 months as of 9/30.)
P/S
1
1
Issuance of Traveler's Checks, Official Bank Checks
& Money Orders
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
2
2
International Bank Drafts
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
Further:
If there are foreign transacitons
involved,
enter information for up to 15 countries...
P/S
3
3
Domestic Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
Average Daily Volume (amounts in $ 000's)
Average Outgoing daily
thousand dollar volume
Number of Retail Transactions (average daily volume)
52
Average Daily Volume (amounts in $ 000's)
826
Number of Retail Transactions (average daily volume)
Total
52
Average Daily Volume (amounts in $ 000's)
Total
826
P/S
4
4
Domestic PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
P/S
5
5
ACH
Number of Retail Transactions (average daily volume)
12
Average Daily Volume (amounts in $ 000's)
61
P/S
6
6
International Wires Transfers
Number of Retail Transactions (average daily volume)
Average Incoming
daily volume
1
Average Daily Volume (amounts in $ 000's)
Average Incoming daily
thousand dollars
2
Number of Retail Transactions (average daily volume)
Average Outgoing
daily volume
2
Average Daily Volume (amounts in $ 000's)
Average Outgoing daily
thousand dollar volume
7
Number of Retail Transactions (average daily volume)
Before rounding up
EFTA01422212
Total
E? or V?
Average Daily Volume (amounts in $ 000's)
Before rounding up
Total
E? or V?
Number of Retail Transactions (average daily volume)
Total
E? or V?
Average Daily Volume (amounts in $ 000's)
Total
E? or V?
Further:
Further:
If there are foreign transacitons
involved,
enter information for up to 15 countries.
Number of Retail Transactions (average daily volume)
Bahamas The-bs
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Bulgaria-bg
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Brazil-br
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Canada-ca
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Ecuador-ec
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
France-fr
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Ireland-ie
1
Average Daily Volume (amounts in $ 000's)
2
Number of Retail Transactions (average daily volume)
Mexico-mx
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Puerto Rico-pr
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Spain-es
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
Switzerland-ch
1
Average Daily Volume (amounts in $ 000's)
1
Number of Retail Transactions (average daily volume)
United Kingdom-
gb
1
Average Daily Volume (amounts in $ 000's)
2
P/S
7
7
International PUPIDs [payable upon proper ID] Wire
Transfers
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
Further:
Further:
If there are foreign transacitons
involved,
enter information for up to 15 countries...
Number of Retail Transactions (average daily volume)
0
Average Daily Volume (amounts in $ 000's)
0
EFTA01422213
Technical Artifacts (31)
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Phone
1499563 2326Phone
2321156Phone
2412651Phone
3153136Phone
3245093Phone
3523058Phone
4020549Phone
4112826Phone
4601095Phone
4620715Phone
4671168Phone
4902629Phone
5027295Phone
5164843Phone
5210483Phone
5239638Phone
5546787Phone
5689806Phone
5815462Phone
6192977Phone
7232328Phone
7741051Phone
9023684Tail #
N12Tail #
N13Tail #
N14Tail #
N15Tail #
N16Tail #
N22Tail #
N30Wire Ref
Wire
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