RE: KYC Breach_SOUTHFINANMD_Southcm Financial, LLC_FFT Location [I (Jimmy-H Xu)EFTA Document EFTA01363007
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EFTA Document EFTA01363006
Title Matchefta-efta01363006
Case Filesd-10-EFTA01363006Dept. of JusticeEFTA Document EFTA01363006
Unknown1p
Case File
sd-10-EFTA01363006Dept. of JusticeEFTA Document EFTA01363006
Other
We have observed that the client is not adopted for Frankfurt location, which results in a KYC violation. In order to comply with DB's internal policies and procedures, all KYC requirements now have to be fulfilled, if the trade should stand against Deutsche Bank Kindly review your trade and where possible, please consider to rebook the trade to an adoption location, where the client is already adopted for OTC Derivative product or confirm if it is a valid trade for the particular location.
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Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01363006
Pages
1
Persons
0
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