The report provides a management summary of regulatory and audit activities, projects, and work efforts related to AML/BSA compliance. It includes details on the Fed exam starting January 2014, risk assessments, fuzzy logic testing, and annual AML monitoring program review. The report also covers procedure changes, training, and transaction monitoring statistics for March 2014.
documents/vol00010-efta01413446-pdf.pdf
{"title":"AML Committee PWM AML Surveillance Status Report","key_people":["Clarissa Delafuente","Yang Chen"],"document_date":"March 2014","document_type":"correspondence","document_subtype":"report","key_organizations":["Fed","DBTCA","DB AG","GTO","FIS","Private Bank","PCS"],"reference_numbers":["EFTA01413446","EFTA01413447","EFTA01413448","EFTA01413449","EFTA01413450","EFTA01413451","EFTA01413452","EFTA01413453","EFTA01413454","EFTA01413455","EFTA01413456","EFTA01413457","EFTA01413458","EFTA01413459","EFTA01413460","EFTA01413461","EFTA01413462","EFTA01413463","EFTA01413464"]}