EFTA01356607.pdf

• Account status- It should be opened. • Status E - Account must have "Status-E", If Status-E is missing, then we will reject the case or creator can take one time approval from either Halina Laczny, Kathryn J Stanfield, Enid Ellis, Roxanne Scott, Lillian Torres or Yvette Tirrito and TAG will add the account number in the Status E banned report (L1Private_Banking1JournahA-M‘DBOI TAG1OLD1 Status E Banned Report). If one time approval is already provided then second time approval would be given only by SPG team(PWM.SPGadb.com or [email protected]) and there would be no third approval. To Add E-status, miscellaneous client instruction case type is created with attached client signed verbal indemnification form and instruction is either can be fax with call back or original letter. • Inactive/Dormant Status - Account should not be in Inactive or Dormant status, if account is Inactive then creator should create Miscellaneous Client Instruction Banking ticket to Active the account based on Client letter. • T-Post no transaction/Y-Post no debit - If Account have T or Y status then process manually field should be Yes and Force post comment must be mentioned into description field. • Status-7 and AIF Status (Alternative Investment Fund)- No Overdraft allowed even if OD and CRM approval provided. US Volcker- It applies to Banking Account where account cannot go in overdraft due to any financial activity. Account type associated are from Type 450 to 455. No approval or comments considered in any case. Case can be only approved if Account has sufficient balance. TAG must reject such transactions and inform banking officer that the transaction will be causing overdraft in violation. German Bank Separation Act (GBSA) - No overdraft allowed for Banking and Global Plus account where Account status is 7 or AIF is Yes on DB Force (Customer Page). No approval or comments considered in any case. Case can be only approved if Account has balance. TAG must reject such transactions and inform banking officer that the transaction will be causing overdraft in violation. Second Step (Path - Deposit Account/Inquiry Pages/Balance and activity): • Balance: Account should have sufficient balance equal or above the amount mentioned in the case. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042545 CONFIDENTIAL SDNY_GM_00188729 EFTA01356607