EFTA Document EFTA01372646

The AML Unit will evidence/document each file reviewed by utilizing the attached TALF Borrower File Review Assessment Form. e x 1 TALF File Assessment. xls Step 6 - Escalation of exceptions The AML Unit will communicate (via e-mail) with appropriate Management (e.g. AML Compliance, CAG, TMG-QA) on the results of the File Review. Items that are noted as exceptions will need to be remedied by CAG/TMG-QA within a reasonable time-frame. Remediation of identified exceptions will be forwarded