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EFTA01372647Dataset 10

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Appendix C - CRE Assessment 1.1 Quarterly CRE AML/NCA File Assessment - Overview The DBUS AML Compliance Unit ("AML Unit") will conduct Quarterly AMUNCA File Review Assessments ("File Review") on ten (10) randomly selected New Client Adoptions files affected by CRE to evaluate the adequacy of the AML aspects of the new client adoption process. This File Assessment is designed to assess the AML aspects of New Client Adoption processes instituted by CRE as well as review for escalation for…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372647.pdf

EFTA01372646Dataset 10

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The AML Unit will evidence/document each file reviewed by utilizing the attached TALF Borrower File Review Assessment Form. ex 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…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372646.pdf

EFTA01372645Dataset 10

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Appendix B - TALF Assessment 1.1 Monthly Term Asset-Backed Securities Loan Facility AML/NCA File Assessment - Overview The DBUS AML Compliance Unit ("AML Unit') will conduct Monthly AML/NCA TALF Borrower File Review Assessments ("File Review') on five (5) randomly selected new client adoptions files affected by Global Markets (GM) to evaluate the adequacy of the AML aspects of the new client adoption process for TALF borrowers. This File Assessment is designed to assess the AML controls of TALF…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372645.pdf

EFTA01372648Dataset 10

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Appendix D- Global Banking Assessment 1.1 Quarterly Global Banking AML/NCA File Assessment - Overview The DBUS AML Compliance Unit ('AML Unit") will conduct Quarterly AMLINCA File Review Assessments ("File Review") on ten (10) randomly selected new client adoptions files affected by Global Banking (ex. GTB) to evaluate the adequacy of the AML aspects of the new client adoption process. This File Assessment is designed to assess the AML controls of new client adoption processes instituted by Global Banking as…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372648.pdf

EFTA01372643Dataset 10

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AMUNCA File Assessment — Overview The DBUS AML Compliance Unit ("AML Unit") will conduct AMIJNCA File Review Assessments ("File Reviews") for the following business lines and/or account types on either a monthly or a quarterly basis: • Global Markets, Client Adoption Group (monthly)— see Appendix A • Global Markets, TALF specific (monthly) — see Appendix B • Commercial Real Estate (quarterly) — see Appendix C • Global Banking (quarterly) — see Appendix D • MortgagelT, Broker specific (quarterly) — see Appendix E • MortgagelT (quarterly) — see Appendix F The Appendices…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372643.pdf