EFTA01370228.pdf

Deutsche Bank Compliance Rules List Thursday. I: July, 2012 Rale Type VierDelned Scheduled :Schedided Alert (Ise : Pretest end of day : Rule Code Tide 1 Description Parameters LreCashDep Detect antonym with large cash deposits CTR Amount =11007 Alert or Case Alen Last No Of Months • T Schedule Monthly Detects activity for customers performing WISYSOUS cash deposits Max Total CTR Amount ='30000' totaling over a specified dollar amount during a deurnoted time Tolerance = '10' Eval lbw Post-E0D penal If a tolerance is provided, then the tolerance patentee ell Schedule Frig Monthly be calculated and lower the miscount xnl mount. For example Tolerate of 10% with Mrartozos Tote CTR Amount of $50.000 would lower the raeximum enhances to 527.000. Individual transactons must be at least S9.000. Designed to be run leost-E0D co a monthly or quarterly schedule. The reamer penod is monthly. The Macbeth period is also 1 month to synchronize with the recurrence period. VelFrItscDel Detect Free Receipts followed Free Deliveries within 0 percent tea Number of Days = 7 Alerts Caw Alert 7 days Patent = Schedule Weekly Inbound Activity Type • '1171 Detect customers who had FREE RECEIPTS followed by Outbound Acmity Type =1179' Eva Thee Pou-EOD FREE DELDIERIES where the Mal IMO= differ by let dean or Schedule Friel Weekly ulna to 0 percent warn 7 days. Rasa Post-EOD. VelWireChk Detect tottering Woes followed by checks with= 3 paten over 7 Mantes of Days =7 Alert or Cam Alert days Perceit • 3' Schedule Weekly Inbound Acorn>. Tn. = 9130 Detect customers who hadINCOMING WIRES followed by Outboard Activity Type • '306' Eva Time Poi-E0D PIECES where the tonl amounts differ by Sat than or equal Schedule Iraq Weekly to 3 pantos utter 7 days. Reit Post-EOD. VelWire0X1 Detects lamming Whet followed by Official Checks widen 3 Number of Days = 7 Alert or Cow Alen percent cut 7 days Percent "3' Schedule Weakly. Inbound Amity Type = 9130 Detects customers who had INCOMING WIRES followed by Outbound Activity Type • '314' Eva Time Post-SOD OFFICIAL CH2ECKS then dm total amours differ by less than Schedule From Weekly or equal to 3 patent sinthin 7 days. Ram Pus-E0D C.IN.,. Fele }Y.. 0.1.• awn, Page 2 of 14 http:/ db.com// 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0062890 CONFIDENTIAL SDNY_GM_00209074 EFTA01370228