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e Designated Compliance Officer — For further guidance, please refer to the Designation of AML Compliance Officer and the AML Compliance Organization section. e Risk Assessments — For further guidance, please refer to the Enterprise-wide Risk Assessment, Business Line Risk Assessment, Customer Risk Assessment and OFAC Risk Assessment sections. e Customer Acceptance and Maintenance Program — For further guidance, please refer to the Know Your Customer, Due Diligence and Enhanced Due Diligence, Section 326 — Verification of Identification, Section 312 - Special Due Diligence for Correspondent Accounts and Private Banking Accounts and High Risk Customers sections. e Large Currency Monitoring and Currency Transaction Report Filing Program — For further guidance, please refer to the Currency Transaction Reports section. e Monitoring, Investigating and Suspicious Activity Report Filing Program — For further guidance, please refer to the Transaction Monitoring, Investigations and Red Flags and Suspicious Activity Reports sections. e Sanctions Program — For further guidance, please refer to the Office of Foreign Assets Control section. » Information Sharing — For further guidance, please refer to Section 314(a) — Cooperation among Financial Institutions, Requlatory Authorities and Law Enforcement Authorities, Section 314(b) Requirements — Cooperation among Financial Institutions and National Security Letters sections. e Recordkeeping and Retention Program — For further guidance, please refer to the Funds Transfer Recordkeeping Requirement and the Travel Rule, Recordkeeping Requirements for the Purchase and Sale of Monetary Instruments, Form 8300 and Report of Foreign Bank and Financial Accounts sections. e Independent Testing — For further guidance, please refer to the Independent Testing section. e Training — For further guidance, please refer to the AML Training section. e Management and Board Reporting — For further guidance, please refer to the Designation of

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