EFTA01356579.pdf

Process Steps: NAO-CIP PCS Case Review A. Documentation Front Office submits required documentation using upload feature in NetX360. The document shows up for Middle Office review in NetX360 Work Corner after going through the normal work flow. Front Office should consult the AML Compliance Guide for opening a nen account for docuineiit requirements. The NAO case that have been in the queue for 3 days and documentation has not been received will be returned to the case owner. All accounts will be reviewed by Middle Office. a) Upon receipt of documentation, most soaatantly. an approved KYC, Middle Office will review the case and documentaticn for completeness and accuracy. b) Al accounts must be checked for EEAcocfing using the following steps: i) In PRForce for the Private Bank — in the Search box type in the approved KYC number. ii) Click on the KYC number in the search results. iii) Scroll down to the section titled 'Disregard the below Fields" and cock on Contact Name. iv) On Contact Page click on Customer Name. v) Check the EEA Client Type and EEA ccowoblziftgaj— if any of these fields are coded the appropriate EEA form is required. ft % Si La. a rm& aftaaramma • amaaa :• .•:11 alk" anew env ron.4.•.... TM. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042501 CONFIDENTIAL SDNY GM_00188685 EFTA01356579