EFTA01372646.pdf

The AML Unit will evidence/document each file reviewed by utilizing the attached TALF Borrower File Review Assessment Form. ex 1 TALF File Assessment. xls Step 6 — Escalation of exceptions The AML Unit will communicate (via e-mail) with appropriate Management (e.g. AML Compliance, CAG, TMG-QA) on the results of the File Review. Items that are noted as exceptions will need to be remedied by CAG/TMG-QA within a reasonable time-frame. Remediation of identified exceptions will be forwarded to AML Compliance so as to track completion. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0066434 CONFIDENTIAL SDNY_GM_00212618 EFTA01372646