EFTA Document EFTA01372560

From: Laura Kang Sent: 8/1/2016 5:49:19 PM To: Wayne Salit I; Maria Pedulla I; Dmitri Saks Carlos-A Garcia CC: Tope Owoyemi Subject: FW: KYC Corporate Finance Attachments: 2016 EDD-EDR K0Ps.doa; 2015 Log of AML Investigations.xlsx; Jan - March 2016 Investigations Log.xlsx; AML_NCA Assessment Desktop Procedures.doc; Assessment Form - Blank.docx; 2015 Q4 GCF File Assessment.pdf; Conditional Approval Tracking Sheet.xlsx; FW_ Q1 Sample for AFC Review II) (43.0 KB).msg Importance: High All, Attached please find the documents I've compiled for Christy's request. The only one missing is the 2016 Q1 GCF File Assessment because it hasn't been completed yet. Still waiting for the population and files from the Jax COB team. ; Doreen Hughes Please let me know if there are any objections to sending any or all of these along to Christy for Corporate Finance. I am going to work on Robyn's request for Global Markets next...thanks! Kind regards, Laura Kang Laura Kang Deutsche Bank Americas Regulaton, Compliance and Anti-Financial Crime AFC AML Compliance Officer 60 Wall Street. 10005-2836 New York. NY, USA Tel. Email From: Christy Wolanski Sent: Tuesday, July 26, 2016 4:55 PM To: Tope Owoyemi Cc: Laura Kang; Wayne Salit Subject: KYC Corporate Finance [I] Classification: For internal use only Hi Tope, I am covering KYC for Corporate Finance clients as part of the 2016 US AML audit and require the following documents: 1) Any KOPs pertaining to the Enhanced Due Diligence process for Corporate Finance clients. 2) Investigations log for the period January 1, 2015 through March 31, 2016 for Corporate Finance clients. 3) Any KOPs pertaining to quality assurance reviews performed over on-boarding of Corporate Finance clients (including QA checklist). 4) Results of AFC Quality Assurance review performed for Corporate Finance for O4 2015 and O1 2016. 5) A log of any conditional approvals granted for Corporate Finance clients for the period January 1, 2015 through March 31, 2016, if applicable. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066298 CONFIDENTIAL SDNY_GM_00212482 EFTA01372560