Epstein Secrets

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 affecte

ML Policy. The File Review will focus on the functional aspects of the required new client adoption processes surrounding AML compliance including, Customer Identification Program elements (Notification, Identification, Verification, Retention) as well as verification documentation, as appropriate. The File Review will also i

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

tizationl. The File Review will focus on the functional aspects of the required new client adoption processes surrounding AML compliance including, Customer Identification Program elements (Notification, Identification, Verification, Retention) as well as verification documentation, as appropriate. The File Review will also i

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 f

ure (CAG). The File Review will focus on the functional aspects of the required new client adoption processes surrounding AML compliance including, Customer Identification Program elements (Notification, Identification, Verification, Retention) as well as verification documentation, as appropriate. The File Review will also i