EFTA Document EFTA01398709

Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] From: Samantha Harmon a Date: Tue, 12 Sep 2017 10:16:57 -0400 To: Andrew Gallivan a Classification: For internal use only Bad news. I'm triple and quadruple checking the calculations, but it looks as if DB is not the Trustee on any of these. Kind regards, Samantha Harmon {https://brandportal.intranet.db.com/img/modules/logo.gif} Samantha Harmon Sales Support Analyst Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 24th Floor New York, NY, 10154-0004 USA Tel. +1 212 454-7720 Email From: Andrew Gallivan Sent: Tuesday, September 12, 2017 9:01 AM To: Samantha Harmon Subject: FW: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only EFTA01398709 From: Vaishali-P Mehta Sent: Monday, September 11, 2017 9:10 AM To: Adrienne Bull; Andrew Gallivan; Patrick Harris Cc: Rodrigo Quintero Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only Hello Please see attached, all the moderate rate risk Trust clients. Please let me know if anything else is required Regards, Vaishali From: Adrienne Bull Sent: Monday, September 11, 2017 8:43 AM To: Andrew Gallivan Patrick Harris ffi Cc: Vaishali-P Mehta <SIMIIMIIMIPINNEllb; Rodrigo Quintero <=NIMM NIS Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] EFTA01398710 Hi Vaishali Can you please send the list of moderate risk trust accounts to Andrew. Kind regards Adrienne Original Message From: Andrew Gallivan Sent: Monday, September 11, 2017 07:35 AM Eastern Standard Time To: Adrienne Bull; Patrick Harris Cc: Vaishali-P Mehta; Rodrigo Quintero Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only Send me the full list and we can pull the DB Trusts From: Adrienne Bull Sent: Friday, September 08, 2017 5:49 PM To: Patrick Harris; Andrew Gallivan Cc: Vaishali-P Mehta; Rodrigo Quintero Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Hi Pat — Regarding your request below, I met with Vaishali and understand the following: Although trust accounts are able to be identified, there is no way to identify those that are DB-administered. The current list of trust accounts (moderate risk) is 392. Of Note: There is a flag in DB Force that allows a user to check if the trust is DB administered but it is not always populated when applicable. EFTA01398711 i.e., running a report using the DB administered flag would not produce an accurate list of DB Administered Trusts. Based on the above, please advise if you would like to list of Trust Clients (392 Clients) Kind Regards Adrienne From: Patrick Harris Sent: Friday, September 08, 2017 1:11 PM To: Andrew Gallivan alla Adrienne Bull Cc: Vaishali-P Mehta Rodrigo Quintero ae• Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only Adrienne, Can you help us get the information on the Medium risk accounts that are DB- administered trusts? The trust group can be helpful in accelerating the process for lots of Mediums. fcid:2 =0ABBF7D9DFC706A98f9e8a93df9386909@db.coml Patrick Harris Managing Director I Head, Business Risk Management Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA EFTA01398712 Tel. +1(212)454-4069 Fax +1(646 863-9308 Mobile +1 Email {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Andrew Gallivan Sent: Friday, September 08 2017 1:03 PM To: Patrick Harris Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only Yes let's get that going I can get David Ed et al up to speed and let's get this rolling From: Patrick Harris Sent: Friday, September 08, 2017 1:00 PM To: Andrew Gallivan Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only I absolutely agree. Do you need the list? I can get Daphne/others to lead them through what is needed. fcid:2 =0ABBF7D9DFC706A98f9e8a93df9386909@db.coml EFTA01398713 Patrick Harris Managing Director I Head, Business Risk Management Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1(212)454-4069 Fax +1(646)863-9308 Mobil +1 Email {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Andrew Gallivan Sent: Friday, September 08, 2017 12:06 PM To: Patrick Harris j > Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only Also thinking about this for the medium risk KYC related to the previously exempted trusts let's engage the trust team to help gather all the necessary information. They will have direct client contact and should be able to handle that outreach. We may need to educate them on the intricacies of the new policy but they should be able to lift some of this burden. Ultimately the banker's name will need to be tagged to this from a completion monitoring standpoint but someone else can help in plowing through these.... Thoughts? From: Patrick Harris Sent: Friday, September 08, 2017 11:47 AM To: Andrew Gallivan Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] EFTA01398714 You're right: "offered" should be deleted. Sent with BlackBerry Work (www.blackberry.com) From: Andrew Gallivan Date: Friday, Sep 08, 2017, 11:44 AM To: Patrick Harris ‹ > Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only 3rd bullet on page 9 wording seems off. I think we want to say has given written guidance but wanted to confirm with you From: Patrick Harris Sent: Friday, September 08, 2017 11:39 AM To: Andrew Gallivan Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only This is what I'm presenting, on 9/13. {cid:2 =0ABBF7D9DFC706A98f9e8a93df9386909@db.com} EFTA01398715 Patrick Harris Managing Director I Head, Business Risk Management Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1(212)454-4069 Fax +1(646)863-9308 Mobile +1 Email {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Andrew Gallivan Sent: Friday, September 08, 2017 9:53 AM To: Patrick Harris -1 ,• Subject: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For internal use only I need to give an update for the DBTCA Board and thought we should be consistent Regards, Andrew Gallivan fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Andrew Gallivan Deutsche Bank Trust Company Americas Global Products & Solutions 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 454-2369 Fax +1 646 502-4407 EFTA01398716 Email {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} EFTA01398717