EFTA01356610.pdf

a. Fax -Client Signature should be there with Signature verification from Front Office with Call back stamp on attachment and Call back details on the case. b. Original Letter: TAG verifies that the attachment is signed by Client and should be Signature verified and Original stamp should be there on attachment with Initial or Signature ofFront officer next to original. c. Docu sign: One more instruction via type in the form ofDocu sign has been added, there will be two options visible on the case in instruction via field as follow a) DocuSign-KBA b) DocuSign-Access Code. At a later release, you will see an attestation when DocuSign-Access Code is selected. This attestation will confirm that the user called the recipient of the envelope in an outbound call to a number on file. DBOI will reject any TEAS ticket that does not have the proper option selected. d. Exempt Other Booking Center - This instruction via is acceptable only when transfer is made to Pershing Account. Exempt phone call/fax/email - I.Both debit and credit a/c must have same name or we can check the SSN no. to verify the debit and credit a/c (If SSN no. of debit and credit a/c are same, those account will fall under exempt category). 2. We can check relationship on the DB force under the Customer page. Both account should appear on DB Accounts list in active status. 3. In case of Joint account under Individual account category, check SSN from repository if it"s not available on DB Force Customer page. Mostly joint account name are written in address field to show complete account name on DB Force. Segregation Of Duties: (Effective Date - 28th March, 20161 Below attached is the High Risk Media Policy for Financial and Non-Financial Transactions. • TAG must check that the individual who signed call back stamp as recipient is listed in the "To" or "Cc" line of the email attached and that the individual. • Individual who performed the call back is a different individual than the recipient. • Front office should mention their names in callback stamp (recipient name callback performer) and TAG will validate as both the names are different and signatures are pictorially different. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042552 CONFIDENTIAL SDNY_GM_00188736 EFTA01356610