EFTA01370313.pdf

Deutsche Bank US PWM AML Search Requests November and December 2013 6 OFAC requests were received. US PWM AML Search Requests • 4 FinCEN 314(a) requests were received. ■ OFAC Updates • 0 Department of Commerce • FInCEN 314f,a! requests Denied Persons List were received • 5 International Inquiries and/or N Dept of Commerce Static Data Embargo Inquiries Denied Persons List were received. ■ Int I inquIrviStalk Data Embalm 77 GeneraVLegal requests were ■ oenecall ecal requests received. US PWM CTR and SAIF Filings November and December 2013 7 CTR were filed in November US PWM CTR and SAIF Filings 2013 16 0 SAIFs were filed in November 14 12 2013 for the Private Bank. 10 1 SAIF was filed in November a 6 2013 for Private Client Services. 2 7 CTR were filed in December 0 2013 . • 1 SAIF was filed in December E I t m " z g 2013 for the Private Bank. lare Feb- thleinor.May' Ion. 14 Sep. Ott- No, On, 10113 5 SAIFs were filed in December I2 II 13 13 13 1i 13 11 13 la 13 • 13 —C1P.s fled I 2 1 S 0 3 5 3 4 7 2013 for Private Client Services. —P0 !LLD's filed 1 0 3 2 1 2 2 3 11 9 0 Numbers dropped due to fraud 4 1 2 5 2 1 2 1 1 5 9 9 1 S SAIFs moving to AFU. 8 For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0063008 CONFIDENTIAL SDNY_GM_00209192 EFTA01370313