EFTA01368703.pdf

Deutsche Bank Compliance I %of Mal Total 8 I %of Wain% 4CCOunt1 aCeountS Avg. debit per account accounts accounts %W accounts accounts Week vnth 4 or anthem' with 5or Week thy.out transfer per accourt lend. accounts with only! without with I otA vtlth lout VI with 5 Or MOM 001 more out more out OA Ulf transfers trl mortal[ to PI 104 VI Vol Ant Vol Aral I 2270 1764 78% 24 1.1% 14 06% 1 130114[629 $ 29.368.71 234712603 5 85.95730 2 502 332 66% 58 11.6% 33 66% 2 195816733/ 5 79,9554 182911/76 5109317.41 3 345 278 81% 3 09% 1 03% 3 1307246377 $ 47.75163 2.5820555 5 5.44101 4 30) 316 79% I01 2.5% 5 13% 4 /368421063 5129.864.75 2.771[8434 $115,64287 5 1213 1[61 87% 14 1.2% 7 0.6% 5 12[0329761 $133.43632 2.51875 542634207 6 2029 1602 79% 20 1.0% 10 OS% 6 1.260226713 $ 59320.86 2.23(61196 5 19.46423 7 481 343 71% 38 7.9% 10 2.1% 7 1.55951559 $ 75,762.75 2.94927536 5158611.24 8 296 262 89% 8 2.7% 4 14% 8 1.2801[6405 5 53.61155 144117647 5140.(6023 9 1120 SW 80% 17 1.5% 8 07% 9 1.786357/43 $ 33.744.75 _14378976 S 56211.41 10 2126 1478 70% 81 32% 36 17% 10 1524459078 $ 15.627.47 272067/01 5 44,138.93 12 437 331 76% 48 ILO% 16 17% II 1604118933 $ 23.36513 15324654 5 16.411.81 12 327 154 78% 17 5.2% 7 21% 12 1.44663/8 5 29.799.79 3 $ 2761160 13 991 280 89% 11 11% 5 05% /3 1/73562169 5115.88164 2.54954955 5449,947.06 avg 966/0769 753.53316 79% MMUS 4% 11 1% 44 1.101312245 S 33.61753 233919613 $123,911666 On average. outgoing transfers are sent rom about 964 Private Bank accounts every week. About 79% of those accounts (-754) have only 1 ou going transfer per week. About 26 accounts per week (4%) have 4 or more outgoing transfers and roughly 12 accounts per week (2%) have 5 or more outgoing transfers. The average PWM account with outgoing transfers has 1 of these transactions per week and the average size of the transaction is $45,283.18 ($63.617.53/1.40). RECOMMENDATION Recommend decreasing minimum count from 5 to 4 and minimum amount from $52,000 to $40,000. Rule Name Additional Details/Parameter Settings RepWiresln 4 Incoming Wires exceeding $600,000. Runs weekly. The rule is designed to flag accounts that have 4 or more incoming wires of at least $600,000 each within 7 days. The analysis included in this document is based on the population of transactions with a "bookdate" between 3/1/2011and 3/31/2011. Total number of incoming wires for this period: 7.659. In 1Q 2012, about 4% or, 279 of 7,659 incoming wires were captured in a repetitive alert. http://compliance.intranet.db.com// 29 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0060610 CONFIDENTIAL SDNY_GM_00206794 EFTA01368703