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EFTA01370260
Dataset 10
1p
157w
…documentation regarding the PCS AML
Monitoring Program
. The program is deemed to be sufficient as is and no residual risks are anticipated. OR AML Compliance Management has reviewed the above documentation regarding the PCS AML
Monitoring Program
. The program is deemed to be sufficient, except for the area of The residual risk is limited to As such, no action items are recommended at that time. OR AK. Compliance Management has reviewed the above documentation regarding the PCS AML
Monitoring Program
…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370260.pdf
EFTA01370225
Dataset 10
1p
373w
Deutsche Bank Compliance Annual Private Bank AML
Monitoring Program
Report Objective This document is a comprehensive summary of the current AML
Monitoring Program
for the Private Bank, in particular, the Prime rules scenarios. The following document describes the current rules scenarios in use, as well as discusses any recent changes made and any recommendations for modification in the future. Prime Compliance Suite Overview Prime is used by the Private Bank Transaction Monitoring Team to effect two kinds of surveillance: 1…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370225.pdf
EFTA01413301
Dataset 10
2012-07-31
83p
7,775w
Deutsche Bank Annual Private Bank AML
Monitoring Program
Report August 2012 PWM AML Compliance Annual Private Bank AML
Monitoring Program
Report Objective This document is a comprehensive summary of the current AML
Monitoring Program
for the Private Bank, in particular, the Prime rules scenarios. The following document describes the current rules scenarios in use, as well as discusses any recent changes made and any recommendations for modification in the future. Prime Compliance Suite Overview Prime is used by the Private…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413301.pdf
EFTA01368861
Dataset 10
2012-06-08
1p
424w
…environment, changes could not be made. • Received training material from FIS. Plan is to test in 8.0.2 and 9.1 UAT environments after all other UAT testing (for Prime upgrade) has been completed. • Testing was not done in 2013 as Clarissa Delafuente was on maternity leave when the Prime upgrade was completed. Testing rescheduled for end of March 2014. PB and PCS Annual AML
Monitoring Program
Review 2 For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368861.pdf
EFTA01370307
Dataset 10
2012-06-08
1p
424w
…environment, changes could not be made. • Received training material from FIS. Plan is to test in 8.0.2 and 9.1 UAT environments after all other UAT testing (for Prime upgrade) has been completed. • Testing was not done in 2013 as Clarissa Delafuente was on maternity leave when the Prime upgrade was completed. Testing rescheduled for end of March 2014. PB and PCS Annual AML
Monitoring Program
Review 2 For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370307.pdf
EFTA01370279
Dataset 10
2013-02-27
1p
368w
…made. • Received training material from FIS. Plan is to test in 8.0.2 and 9.1 UAT environments after all other UAT testing (for Prime upgrade) has been completed. • Testing was not done in 2013 as Clarissa Delafuente was on maternity leave when the Prime upgrade was completed. Testing rescheduled for mid 2014. PB and PCS Annual AML
Monitoring Program
Review • For the Private Bank, new alert parameters in 9.1 have caused significant spike in alerts. For example…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370279.pdf
EFTA01413503
Dataset 10
2012-06-08
19p
2,104w
…training material from FIS. Plan is to test in 8.0.2 and 9.1 UAT environments after all other UAT testing (for Prime upgrade) has been completed. Testing was not done in 2013 as Clarissa Delafuente was on maternity leave when the Prime upgrade was completed. Testing rescheduled for end of March 2014. PB and PCS Annual AML
Monitoring Program
Review For the Private Bank, new alert parameters in 9.1 have caused significant spike in alerts. For example…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413503.pdf
EFTA01413404
Dataset 10
2013-02-27
19p
1,916w
…made. Received training material from FIS. Plan is to test in 8.0.2 and 9.1 UAT environments after all other UAT testing (for Prime upgrade) has been completed. Testing was not done in 2013 as Clarissa Delafuente was on maternity leave when the Prime upgrade was completed. Testing rescheduled for mid 2014. PB and PCS Annual AML
Monitoring Program
Review For the Private Bank, new alert parameters in 9.1 have caused significant spike in alerts. For example…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01413404.pdf
EFTA01306347
Dataset 10
40p
15,793w
…be financially responsible at all times. You will maintain a for any lost or damaged equipment instructed. The telephone will be available with and follow all rules and regulatio in five working days of being plac ns as Whili on electronic monitoring you will rema ed On in confined to your residence and ate prohElectronic
Monitoring Program
. residential walls. ibited from being outside the (d) If while being monitored and the monitor is . . found to have been tampered with you…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01306347.pdf
EFTA00191567
Dataset 9
20p
10,315w
…this Corrections Operating Procedure is to establish guidelines for the Work Release and In House Arrest Programs. I.I. SCOPE: This Corrections Operating Proccdure applies to all Sheriffs Office personnel assigned to the Department of Corrections. III. DISCUSSION: The Sheriff's Office Department of Corrections operates a Work Release and an In House Arrest
Monitoring Program
for inmates, regardless of gender, in accordance with Florida Statute 951.24 and the most current resolution of the Palm Beach County Board of…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00191567.pdf
EFTA01368688
Dataset 10
1p
28w
Deutsche Bank Annual Private Bank AML
Monitoring Program
Report August 2012 PWM AML Compliance httplilm.intraneldb.comf CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 61e, DB-SDNY-0060582 CONFIDENTIAL SDNY_GM_00206766 EFTA01368688
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368688.pdf
EFTA01370224
Dataset 10
1p
28w
Deutsche Bank Annual Private Bank AML
Monitoring Program
Report August 2012 PWM AML Compliance httpl/Irc.intraneldb.comf CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 61e, DB-SDNY-0062886 CONFIDENTIAL SDNY_GM_00209070 EFTA01370224
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370224.pdf
EFTA01454296
Dataset 10
2014-03-10
1p
208w
As a part of the PWM anti -money laundering
monitoring program
, the PRIME system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response is required for the Bank to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454296.pdf
EFTA01357345
Dataset 10
2016-10-27
1p
321w
Good Morning: As a part of the anti-money laundering
monitoring program
, the Actimize system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the Wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response is required for the Bank…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357345.pdf
EFTA01360294
Dataset 10
2016-10-27
1p
319w
Good Morning: As a part of the anti-money laundering
monitoring program
, the Actimize system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the Wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response is required for the Bank…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360294.pdf
EFTA01379895
Dataset 10
2016-10-27
1p
324w
Classification: For Internal use only Good Morning: As a part of the anti-money laundering
monitoring program
, the Actimize system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the Wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01379895.pdf
EFTA01456031
Dataset 10
2014-05-21
1p
359w
Sub;ect Inquiry regarding Acct# NEW YORK STRATEGY GROUP. LLC, Case * 118954 Classification: For internal use only As a part of the PWM anti-money laundering
monitoring program
, the PRIME system is used to automatically identify accounts that exceed pre-defined profile levels for transaction volume and/or transaction amounts each month. When profile levels are exceeded, the account activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456031.pdf
EFTA01458050
Dataset 10
2015-08-10
1p
325w
Subject:
Inquiry regarding Acct# [C]
From:
Cherie Quigley
To:
Paul Morris
Deutsche Bank Private Bank Office: Cell: From: Cherie Quigley Sent: Monday, August 10, 2015 12:51 PM To: Paul Morris Cc: Cherie Quigley Subject: Inquiry regarding Acct# [C] Classification: Confidential As a part of the PWM anti-money laundering
monitoring program
, the PRIME system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01458050.pdf
EFTA01456033
Dataset 10
2014-05-21
1p
357w
Sub;ect Inquiry regarding Acct# NEW YORK STRATEGY GROUP. LLC, Case * 118954 Classification: For internal use only As a part of the PWM anti-money laundering
monitoring program
, the PRIME system is used to automatically identify accounts that exceed pre-defined profile levels for transaction volume and/or transaction amounts each month. When profile levels are exceeded, the account activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01456033.pdf
EFTA01454290
Dataset 10
2014-03-10
1p
223w
Subject:
Inquiry regarding Acct# SOUTHERN TRUST COMPANY, INC. - Case #117549 (I]
Subject: Inquiry regarding Acct# SOUTHERN TRUST COMPANY, INC. - Case #117549 (I] Classification: For internal use only Hello, As a part of the PWM anti -money laundering
monitoring program
, the PRIME system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the wealth Advisor for additional information about the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01454290.pdf
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