The document outlines the procedures for conducting monthly AML/NCA TALF Borrower File Review Assessments by the DBUS AML Compliance Unit. It involves reviewing five randomly selected new client adoption files to evaluate AML controls and processes for TALF borrowers. The assessment focuses on AML compliance aspects, including Customer Identification Program elements and escalation processes for high-risk accounts.
doj/DataSet10/EFTA01372645.pdf
{"title":"Monthly Term Asset-Backed Securities Loan Facility AML/NCA File Assessment","key_people":["DBUS AML Compliance Unit"],"document_type":"correspondence","key_locations":["NYSE","NASD"],"document_subtype":"assessment","key_organizations":["DBUS","Global Markets","TMG-QA","CAG","Deutsche Bank Group"],"reference_numbers":["DB-SDNY-0066432","SDNY_GM_00212616","EFTA01372645"]}