EFTA01368702.pdf

Deutsche Bank Compliance lot %of Total • Avg credit per account a accounts with 1 %of accounts accounts accounts Week accounts with Week Avg Inc transfer per account (encl. accounts with only 1 Inc tri with 1 Inc trf with n4 with ant Inc transfers inc nil Incur Inc uf Vol Ant Vol Ann I 563 465 83% 11 2% 1 1.367673179 $117.060.40 3.112244898 $274,183.66 2 443 341 77% 16 4% 2 1.410835214 $ 71.684.15 2.784313725 5100.717.97 3 349 272 78% 2 1% 3 1.2801102292 $ 47.597.73 2.272727273 5 26.435.83 4 397 313 79% 10 3% 4 1.360201511 5132.398.03 2.702380952 5117.669.43 5 1175 991 84% 16 1% 5 1.235744681 $136,964.46 2.505434783 5101173.65 6 376 327 87% 10 3% 6 1.284574468 5319,838.19 3.183673469 $233,085.37 7 461 318 69% 41 9% 7 1.607375271 $ 79.516.08 2.958[141958 5150.498.70 8 280 246 88% 10 4% 8 1.285714286 $ 56,32163 3.352941176 $128.333.74 9 997 872 87% 11 1% 9 1.192577733 5 37,10643 2.536 $ 956272.62 10 532 413 78% 14 10 1.421062632 5 67,653.74 2.882352941 $ 98105.58 11 430 328 76% 54 13% 11 1.620930233 $ 22.00879 3.617647059 $ 21,225.12 12 318 247 78% 11 3% 12 1.440251572 5 30,669.03 2.97183[986 $ 58140.61 13 982 871 89% 11 1% 13 1.17413442 5116.668.95 2.540540541 $324584.13 561.7692308 4618461536 81% 16.69231 4% avg. 1360/43653 5 950:68.06 187847/52 513;910.49 On average, incoming transfers are received from about 562 Private Bank accounts every week. More than 80% of those accounts (-461) have only I incoming transfer per week. About 16 accounts per week (4%) have 4 or more incoming wires. The average PWM account with incoming transfers has 1 of these transactions per week and the average size of the transaction is $69,873.55 ($95,038.06/1.36). RECOMMENDATION Recommend maintaining minimum count at 4, but lowering minimum amount from $95,000 to $70,000. Rule Name Additional Details/Parameter Settings RepTranOut2 5 Outgoing Transfers exceeding $52,000. Runs weekly. The rule is designed to flag accounts that have 5 or more outgoing transfers of at least $52,000 each within 7 days. The analysis included in this document is based on the population of transactions with a "bookdate' between 3/1/2011and 3/31/2011. Total number of outgoing transfers for this period: 17,086. In 1C) 2012, about <1% or, 65 of 17,086 outgoing transfers were captured in a repetitive alert. http://compliance.intranet.db.com// 28 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0060609 CONFIDENTIAL SDNY_GM_00206793 EFTA01368702