EFTA01356650.pdf

Note: • Address is not mandatory on the attachment to set up a new client ID on Global plus and need to mention for which affiliation to be linked. • As per the Volcker Rule (Status 7) : For all the Financial Transactions being processed from banking account and the account has status 7 with the account type between 450 and 455, which does not have sufficient funds. TAG will not approve the case even if the overdraft approval is attached from BLM or CRM, or any incoming funds case number is provided. Until unless the funds are posted in the account. TAG must reiect such transactions and inform banking officer that the transaction will be causing overdraft in violation of the Volcker Rule. 2.3 TNP Procedures: All TEAS cases created by TNP will route to TAG. Below is an outline of documentation requirements based on transaction type. 2.3.1 Tax payments Tax payment cases created by the TNP group will route to TAG for approval, no supporting documentation is required. The client name and/or SSN /EIN should be printed on the check. 2.3.2 Non-financial changes Any non-financial changes to an account for items related to tax filing can be approved. 2.3.3 EIN/SSN To add an EIN number to a Trust account, the TNP group needs to submit either a PDF file of the confirmation from the online IRS system as supporting documentation or if the number was provided to the TNP group via telephone, (typically EINs for Non Resident Alien Trusts) the supporting documentation will be an email from a TNP member. If the TNP is requesting to add a SSN for an individual, a signed W9 must be provided. 2.3.4 Transfers to internal suspense account For instructions to transfer funds to a State Street internal suspense account for estimated taxes for private foundations: TAG can approve these transactions based on the Fast tax email that TNP will forward to them. State Street and Fast tax will also be copied on this email. State Street will only accept transfers to this account for Trusts that are approved to have their taxes paid out of this account. 2.3.5 TNP disbursements related to oil/gas/real estate maintenance payments For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042614 CONFIDENTIAL SDNY_GM_00188798 EFTA01356650