Case File
efta-01356506DOJ Data Set 10OtherEFTA01356506
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01356506
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
1.
The client may continue to conduct trades and transactions in existing accounts without Compliance pre-approval,
provided that the business has determined these transactions do not involve any unusual and/or suspicious activity or
are in a size that is unusually significant or a novel structure.
2.
Consistent with this, CMS may also "open" accounts to facilitate activity as a booking matter where the activity has
already been approved in AWM.
3.
In addition, the business will need to monitor for any further developments in connection with the reputational risk
of this client relationship and to review transaction/activity conducted in the accounts for any activity, size or structure
as described in #1 above.
Many thanks, Jan
Elizabeth J. Ford
Managing Director I Head of Compliance. Americas
Deutsche Bank
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0042394
CONFIDENTIAL
SDNY_GM_00188578
EFTA01356506
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