Matter 1045-00002 — Calderwood & Harkness LLP

DOC Engagement letter access-cooperation-protocol.docx DOC Other amended-bylaws-compliance-committee-clean.docx DOC Other amended-bylaws-compliance-committee-redline.docx DOC Other annotated-consent-order-summary.docx DOC Analysis / memo baas-compliance-oversight-framework-memo.docx DOC Analysis / memo baas-partner-bsa-aml-risk-assessment-template.xlsx DOC Other baas-partner-cdd-edd-responsibility-matrix.docx DOC Other board-presentation-bsa-aml-remediation-overview.pptx DOC Other board-resolution-consent-order-compliance-committee.docx DOC Other board-senior-management-bsa-aml-training-outline.docx DOC Analysis / memo cdd-edd-progress-tracking-dashboard-specs.docx DOC Analysis / memo cdd-edd-remediation-methodology-memo.docx DOC Analysis / memo cmp-payment-logistics-memorandum.docx DOC Other compliance-committee-charter-draft.docx DOC Other compliance-committee-reporting-framework.docx DOC Filing / regulatory compliance-self-certification-draft.docx DOC Other comprehensive-remediation-action-plan-draft.docx DOC Engagement letter conflicts-check-memorandum.docx DOC Analysis / memo consent-order-analysis-memorandum.docx DOC Other consolidated-bsa-aml-sanctions-policy-index.docx DOC Other cover-letter-occ-transmitting-rap.docx DOC Analysis / memo director-do-liability-analysis-memo.docx EMAIL Correspondence email-espinoza-to-subramanian-veridian-upgrade.eml EMAIL Correspondence email-hartmann-to-castellano-thornfield-kickoff.eml EMAIL Correspondence email-hartmann-to-frey-occ-rap-submission.eml EMAIL Engagement letter email-hartmann-to-nardone-engagement-kickoff.eml EMAIL Correspondence email-nakamura-to-ikeda-sar-backlog-workplan.eml EMAIL Correspondence email-nakamura-to-langston-cdd-edd-progress.eml DOC Engagement letter engagement-letter-sc-to-brb.docx DOC Other enterprise-wide-bsa-aml-training-plan.docx DOC Correspondence fairlend-compliance-remediation-letter.docx DOC Analysis / memo fee-arrangement-budget-memorandum.docx DOC Engagement letter fincen-coordination-strategy-memorandum.docx DOC Filing / regulatory first-quarterly-progress-report-occ-draft.docx DOC Engagement letter independent-consultant-engagement-agreement.docx DOC Other interim-sar-backlog-status-report-draft.docx DOC Analysis / memo internal-hiring-plan-position-descriptions.docx DOC Correspondence letter-to-occ-acknowledgment-consent-order.docx DOC Other letter-to-occ-proposed-independent-consultant.docx DOC Analysis / memo memo-board-oversight-obligations-consent-order.docx DOC Correspondence memo-occ-examination-preparedness.docx DOC Analysis / memo memo-occ-non-objection-process.docx DOC Analysis / memo memo-selection-independent-consultant.docx DOC Correspondence memo-temporary-staff-supervision-qc.docx DOC Correspondence novapay-compliance-remediation-letter.docx DOC Correspondence occ-correspondence-log-tracking-memo.xlsx DOC Analysis / memo ofac-compliance-gap-analysis-memo.docx DOC Analysis / memo ofac-enforcement-risk-vsd-analysis-memo.docx DOC Other ofac-remediation-testing-plan.docx DOC Other ofac-screening-procedures-manual-draft.docx DOC Analysis / memo oversight-communication-protocol-thornfield.docx DOC Contract / agreement pinnacle-managed-services-agreement.docx DOC Contract / agreement pinnacle-sow-staffing-plan.docx DOC Analysis / memo prior-mra-mria-comparison-memo.docx DOC Engagement letter privilege-confidentiality-side-letter-thornfield.docx DOC Analysis / memo privilege-protocol-memorandum.docx DOC Other rap-executive-summary.docx DOC Analysis / memo regulatory-risk-assessment-memorandum.docx DOC Analysis / memo remediation-milestone-tracker.xlsx DOC Engagement letter retainer-acknowledgment-letter.docx DOC Contract / agreement revised-baas-program-agreement-template-amendment.docx DOC Other revised-cdd-edd-policy-draft.docx DOC Other revised-ofac-compliance-policy-draft.docx DOC Other revised-sar-policy-procedures-draft.docx DOC Contract / agreement ridgeline-nda.docx DOC Analysis / memo ridgeline-term-sheet-review-memo.docx DOC Other sar-backlog-triage-protocol.docx DOC Analysis / memo sar-lookback-scope-methodology-memo.docx DOC Analysis / memo sar-quality-assurance-framework-memo.docx DOC Other second-quarterly-progress-report-occ-draft.docx DOC Analysis / memo securities-disclosure-obligations-memo.docx DOC Other shareholder-communication-talking-points.docx DOC Engagement letter staffing-plan-rate-schedule.docx DOC Analysis / memo technology-implementation-timeline-risk-memo.docx DOC Engagement letter thornfield-scope-of-work-appendix-a.docx DOC Other vendor-due-diligence-checklist.docx DOC Contract / agreement veridian-msa-amendment.docx DOC Contract / agreement veridian-sow-ofac-module-enhancement.docx DOC Analysis / memo veridian-vs-ridgeline-vendor-comparison-memo.docx DOC Other workstream-1-ofac-sanctions-screening-plan.docx DOC Other workstream-2-sar-backlog-clearance-plan.docx DOC Analysis / memo workstream-3-cdd-edd-remediation-plan.docx DOC Other workstream-4-tm-model-validation-plan.docx DOC Other workstream-5-governance-training-plan.docx