The report provides an overview of the AML surveillance activities and findings for June 2014, including regulatory reviews, audit results, risk assessments, and transaction monitoring statistics. Key issues include a backlog in Prime and Actimize alerts, changes in alert parameters causing spikes in alerts, and ongoing recalibration of alert review processes.
documents/vol00010-efta01413404-pdf.pdf
{"title":"PWM AML Surveillance Status Report","key_people":["Clarissa Delafuente","Yang Chen"],"document_date":"June 2014","document_type":"tabular","key_locations":["345 Park Avenue"],"document_subtype":"AML Surveillance Status Report","key_organizations":["DBTCA","DB AG","FIS","GTO","Private Bank","PCS"],"reference_numbers":["EFTA01413404","EFTA01413405","EFTA01413406","EFTA01413407","EFTA01413408","EFTA01413409","EFTA01413410","EFTA01413411","EFTA01413412","EFTA01413413","EFTA01413414","EFTA01413415","EFTA01413416","EFTA01413417","EFTA01413418","EFTA01413419","EFTA01413420","EFTA01413421","EFTA01413422"]}