11/17/21 Patrick Hettigh¶
Anjun Salmi (WH)¶
Allison Stoddert (WH)¶
Ryah Kusmin - attorney for investigations group, SPH¶
JP Morgan - Executive Director - since April of 2017 Responsible for works of service team of compliance team Making sure processes are up to date¶
- JP Morgan - 30 years in total
Roles within JP Morgan - account services¶
accent opening¶
CX 505 - 10/99 accu statement Pantilier of accu servus manager at that time¶
GX 503 Accent application one page of a package of accounting documents SPN/CAS are client specific identifiers Compared exhibits to imaged files on records if it was the same copy client pale origins¶
SOS - Sale of funds¶
that sale funded a transfer” for account of ” Ghizane Hammed ”¶
Asset account portfolio offers broker executive services¶
- accoun is self directed, bank not involved
p.s. # 20 million invested in October, then $5 million¶
→ these funds were transferred from JP Morgan¶
504 - Asset account statement¶
9118 Sale of 5 million transfer to Palm Beach¶
For Accent House of Architecture¶
3529-001 Page 1 of 3¶
SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7,8,9,10,15,and 17¶
EFTA_00010123¶
EFTA00159774¶
$$\textcircled{2}$$¶
9/10 sale of transfer between page 6 p2 estimated income from accrual, calculated systemally¶
502 - accent statement June 2007 premier clearing account¶
premier clearing account = boreled account¶
-
offers interest
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this type of account does not exist anymore
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typical bill proh-
507 Signature card for x 6312 account June 15 account GM received fidelity of 7.4 million bank benefited owner JE¶
Other entry is bank refrence int June 18 internal funds transfer to x4324 accent internal funds transfer through JP Money External transfers¶
501 - June statement for Air Ghslaire 2007 business checking account¶
506 Scan sheet into imaging platform , TIN / IES down + signature acct cards authorization tax form would be provided by client, sometimes¶
501 transfer in, the one internal wire to supervising details could come from the client (fax or letter or verbally)¶
Compared the records to JP Morgan to confirm accuracy¶
501-508 received them Clet doc manager, store imaged records compared exhibit to actual document in imaged system of record to confirm all pages are accurate There are no deviations in some cases the documents had archived w/in those records operations specialist pulled trace up in his power file¶
3529-001 Page 2 of 3¶
SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7,8,9,10,15,and 17¶
EFTA_00010124¶
EFTA00159775¶
$\textcircled{3}$¶
Confirmed accuracy of each page¶
Document Mgr. all documents are scanned/imaged and retained for certain periods, it is an imaged copy, cannot be modified or¶
Account statements were automatically loaded Some documents manually feel Click documents, account opening, make product¶
JP Morgan has been using multiple imaging platforms over time since the early 2000s as a result of mergers of platform simplification, they’ve streamlined platforms¶
Doc manager is an application tried to client systems can pull up documents associated with account or security life¶
Connect is the central portal for accessing all activity, doc manager is a sub function that¶
3529-001 Page 3 of 3¶
SUBJECT TO PROTECTIVE ORDER PARAGRAPHS 7,8,9,10,15,and 17¶
EFTA_00010125¶
EFTA00159776¶