The document outlines the procedures for conducting quarterly AML/NCA file review assessments by the DBUS AML Compliance Unit. It involves reviewing ten randomly selected new client adoption files to evaluate AML controls and compliance with DBUS policy and applicable regulations.
doj/DataSet10/EFTA01372648.pdf
{"title":"Quarterly Global Banking AML/NCA File Assessment","document_type":"correspondence","document_subtype":"assessment report","key_organizations":["DBUS AML Compliance Unit","Global Banking","Deutsche Bank Group"],"reference_numbers":["DB-SDNY-0066439","SDNY_GM_00212623","EFTA01372648"]}