EFTA01356665.pdf

TAG : I. TAG team cannot have access related to Bill payment, COB and ATNT for case creation. 2. TAG team cannot have access related to Banking team and AOG/COB to process or enter details into Client Account. 3. TAG team cannot have access related to Debit Card to key any details into Metavante/CMSE/Data Navigator system. 4. TAG team cannot have access related to Trade support and Order Desk as they process trading cases. AOG - AOG have accesses to input static data inside M&I, processor can input the information and four eye checks to ensure completeness and accuracy of static information. AOG cannot have access related to creator or approver of the case and they cannot amend the instruction received for static set up. COB — COB have access to verify the data inputted by front office, they can only verify with the system, however they cannot amend the instruction from front office, they cannot process or approve the DB Force cases neither they amend the static data inside M&I. Banking Profile 1- In Banking Transaction team if single user can create a payment transaction inside DBDI, then he/she cannot authorize(approve) the same transaction inside DBDI. Banking Profile 2 - In Banking Transaction team if single user can authorize(approve) the transaction inside DBDI, then he/she cannot amend the instruction created by payment inputter. Note : "All Regulatory matters including changes/updates/amendments to standing procedures require approval from Wealth Management Regulatory Support and Wealth Management Business line Compliance." For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042638 CONFIDENTIAL SDNY_GM_00188822 EFTA01356665