EFTA Document EFTA01409850

Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] From: Mildred Hernandez Date: Mon, 07 Mar 2016 11:02:56 -0500 To: Armen Brash a>, Amanda Kirby a, Melisa Venegas , Melinda Roy Cc: Paul Morris a Classification: For internal use only I SENT IT TO jj From: Armen Brash Sent: Monday, March 07, 2016 11:03 AM To: Amanda Kirby; Melisa Venegas; Mildred Hernandez; Melinda Roy Cc: Paul Morris Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] Classification: For internal use only Sorry Amanda and Melinda—this should go t JJ. JJ- see below Melisa: can you update your list, JJ supports Paul Best, Armen fcid:image003.gif@OlD17860.D7F360A01 Armen Brash EFTA01409850 Director Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 250-0755 Fax +1 646 588-1858 Mobile +1 Email {cid:image004.gif@OlD17860.D7F360A0} From: Amanda Kirby Sent: Monday, March 07, 2016 10:51 AM To: Melisa Venegas; Mildred Hernandez; Melinda Roy Cc: Paul Morris; Armen Brash Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] Classification: For internal use only Melinda - FYI Best, Amanda Kirby {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gif} Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 454-6439 Fax +1 646 736-0695 Email EFTA01409851 {https://brandportal.intranet.db.com/img/modules/claim_en_rgb.gif} Securities offered through Deutsche Bank Securities Inc. From: Melisa Venegas Sent: Monday, March 07, 2016 10:49 AM To: Amanda Kirby; Mildred Hernandez Cc: Paul Morris; Armen Brash Subject: ACTION REQUIRED: Issue related to ACUs [I] Classification: For internal use only All, As you may know, per the AML Procedures manual, certain clients are excluded from ACUs. An issue has been identified in dbforce where High Risk clients are given an ACU Auto Exemption for Retail Banking, however, per Policy, this exception does NOT apply to High Risk clients. Unfortunately, the code in dbforce is exempting high risk clients with only deposit accounts under $250K from the ACU when it should not be—the code will be fixed, but in the meanwhile, while the ACUs listed below don't appear as overdue, they must be completed. GCIS Customer # Customer Name Relationship PO 487216 JEGE, LLC EFTA01409852 SOUTHERN FINANCIAL RELATIONSHIP Paul Morris 499733 LSJE, LLC SOUTHERN FINANCIAL RELATIONSHIP Paul Morris Please let me know if you have any questions and please let me know when this has been completed. Thank you. Regards, {cid:image005.gif@O1CFF815.216EE080} Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 212 250-1493 Email {cid:image006.gif@O1CFF815.216EE0B0} EFTA01409853