Text extracted via OCR from the original document. May contain errors from the scanning process.
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Cc: Armen Brash
Classification: For internal use only
The updates that Andrea sent to you do not seem to be reflected on the
recent report that you just sent out. Is there a reason that the items were
not removed? Do you require additional information?
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Kimberly Hart
Managing Director
Deutsche
Deutsche
345 Park
Tel.
Fax
Mobile
Email
Bank Trust Company Americas
Asset & Wealth Management
Avenue, New York, NY 10154
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Securities offered through Deutsche Bank Securities Inc.
Cc: Kimberly Hart; Armen Brash
Classification: For internal use only
Hi Melissa,
EFTA01399576
In the attached file, please find the list of ACUs that should be taken off
the list. Most of these customer's accounts have been closed, two are
Brokerage only, two should be transferred to IA, and one has an existing
KYC. We are working with the respective Banker teams to resolve the
remaining ACU's not included. Please see the corresponding notes in column N
and let me know if you have any questions.
Kind regards,
Andrea Tapia
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Andrea Tapia
Assistant Vice President
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 24th Floor
New York, NY
Tel.
Mobile
Email
Securities offered through Deutsche Bank Securities Inc.
fcid:image002.gif@OlCE271E.016102401
05, 2014 11:35 AM
AML/KYC Escalation Reports [I]
EFTA01399577
Classification: For internal use only
fcid:image001.gif@O1CFF9E7.19F8EFA01
Kimberly Hart
Managing Director
Deutsche
Deutsche
345 Park
Tel.
Fax
Mobile
Email
Bank Trust Company Americas
Asset & Wealth Management
Avenue, New York, NY 10154
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Securities offered through Deutsche Bank Securities Inc
Forwarded by Kimberly Hart/db/dbcom on 11/05/2014 11:35 AM
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From:
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Melisa Venegas/db/dbcom
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To:
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Andrew Gallivan/db/dbcom@DBAMERICAS, Kimberly Hart/db/dbcom@DBAMERICAS,
Michael-J Davis/db/dbcom@DBAMERICAS, Michael S .Jacoby/db/dbcom@DBAMERICAS,
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Cc:
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Armen Brash/db/dbcom@DBAMERICAS
EFTA01399578
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Date:
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11/03/2014 05:30 PM
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Subject:
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October 2014 AML/KYC Escalation Reports [I]
Classification: For internal use only
All,
Included below is the monthly AML/KYC escalation report for overdue items
(the file has several sheets). Please review and address accordingly. Thank
you.
(See attached file: COVERAGE_Domestic.xlsx)(See attached file: Account
Opening - COVERAGE-Domestic.xlsx)
Regards,
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Melisa Venegas
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
60 Wall Street, 10005-2836 New York, NY, USA
EFTA01399579
Tel.
Fax
Email
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EFTA01399580