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EFTA Document EFTA01356674EFTA Document EFTA01356676
Case File
sd-10-EFTA01356675Dept. of JusticeOther

EFTA Document EFTA01356675

Negative media in context of other lifecycte controls New Client Adoption Source of Wealth Event Driven Review I 1 I\N \ Transaction Account Behavior Negative Media Source of Funds Monitoring (via RM, no Tools) Alerts Regular Review Inherently biggest area of judgment • Real allegations? • Completeness of allegation? • Politically motivated allegations? • Allegations / proceedings but no conviction yet? / ever? • How much/what negative news is still within risk appetite? N

Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01356675
Pages
1
Persons
0
Integrity
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Summary

Negative media in context of other lifecycte controls New Client Adoption Source of Wealth Event Driven Review I 1 I\N \ Transaction Account Behavior Negative Media Source of Funds Monitoring (via RM, no Tools) Alerts Regular Review Inherently biggest area of judgment • Real allegations? • Completeness of allegation? • Politically motivated allegations? • Allegations / proceedings but no conviction yet? / ever? • How much/what negative news is still within risk appetite? N

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Negative media in context of other lifecycte controls New Client Adoption Source of Wealth Event Driven Review I 1 I\N \ Transaction Account Behavior Negative Media Source of Funds Monitoring (via RM, no Tools) Alerts Regular Review Inherently biggest area of judgment • Real allegations? • Completeness of allegation? • Politically motivated allegations? • Allegations / proceedings but no conviction yet? / ever? • How much/what negative news is still within risk appetite? Name List Screening / Sanctions alerts Confidential CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042663 CONFIDENTIAL SDNY_GM_00188847 EFTA01356675

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