EFTA Document EFTA01420666

Subject: RE: 2018 Regular Reviews: High Risk clients [I] [C] From: Adrienne Bull Date: Tue, 03 Jul 2018 To: Janice Franklin Cc: Oliver Essli Wayne Salit Yoonsun Chung Kshitij Golani Melisa Venega Classification: Confidential Hi Janice — See attached for a list of customers for KYC (listed by due month Feb - August) that will be (e.g., currently in rejected status, in progress) or are already in AFCs queue (pending AFC approval) as well as HR customers pending with ABR for a risk downgrade). KYCs currently pending with ABR are included as there may be instances where the customer may not be downgraded. Note: the attached does not contain a tab for January as all customers in scope with a due date for Jan have been completed Kind Regards Adrienne From: Adrienne Bull Sent: Tuesday, April 10 2018 5:29 PM To: Janice Franklin Cc: Oliver Esslin oonsun Chung ; Sheffali Welch Subject: RE: 2018 Regular Reviews: High Risk clients [I] [C] Wayne Salit Kshitij Golani Classification: Confidential EFTA01420666 Hi Janice — See attached for a file (listing by due month) the KYC case numbers that will be (e.g., currently in rejected status, in progress) or are already in AFCs queue (pending AFC approval). Let me know if you have any questions and the frequency in which you want the file (weekly, bi-weekly). Kind Regards Adrienne From: Janice Franklin Sent: Tuesday, April 10 2018 12:17 PM Sheffali Welch Wa ne Salit oonsun Chung Kshitij Golani Subject: RE: 2018 Regular Reviews: High Risk clients [I] Awesome! Thank you so much. Regards, Janice P. Franklin {cid:image001.png@OlD3D0F1.3F0D7A60} Janice Franklin, CAMS, CFSA, CFIRS Vice President I AML Compliance Officer Deutsche Bank Americas Regulation, Compliance & Anti-Financial Crime EFTA01420667 60 Wall Street, 10005-2836 New York, NY, USA Tel. Emai From: Adrienne Bull Sent: Tuesday, Apri • Sheffali Welch c: I niter ss ln er Wayne Salit oonsun Chung Kshitij Golani Subject: RE: 2018 Regular Reviews: High Risk clients [I] Classification: For internal use only Hi Janice — I have not forgotten about your request ; you will have a file today. Kind Regards Adrienne From: Janice Franklin Sent: Tuesday, April 10 2018 11:19 AM Sheffali Welch Wayne Salit oonsun Chung Kshitij Golani Subject: RE: 2018 Regular Reviews: High Risk clients [I] EFTA01420668 Hi Adrienne: I hope all is well. Just a reminder to send us a listing of client names (or KYC #s) that were due for Regular Review at the end of January, February and March 2018. Thank you so much. Regards, Janice P. Franklin fcid:image001.png@OlD3DOC5.676938401 Janice Franklin, CAMS, CFSA, CFIRS Vice President I AML Compliance Officer Deutsche Bank Americas Regulation, Compliance & Anti-Financial Crime 60 Wall Street, 10005-2836 New York, NY, USA Tel. Emai From: Adrienne Bull Sent: Wednesday, Apr To: Janice Franklin Sheffali Welch Cc: Oliver Esslinger Wayne Salit Yoonsun Chung > Subject: RE: 2018 Regular Reviews: High Risk clients [I] Kshitij Golani Hi Janice EFTA01420669 I can put something together to assist you in prioritizing the AFC queue. Kind regards Adrienne sent from blackberry work From: Janice Franklin Date: Wednesday, Apr 04, 2018, 7:46 PM To: Sheffali Welch Adrienne Bull Cc: Oliver Esslin er Wayne Salit Yoonsun Chung Kshitij Golani Subject: RE: 2018 Regular Reviews: High Risk clients [I] Hi Sheffali: So sorry for the misunderstanding. If available, we would like the names of the clients (or KYC #s) due each month. Such a listing would help us to review those KYCs/client reviews due in January 2018 before we review those due, for example, in March 2018. Regards, Janice P. Franklin EFTA01420670 {cid:image001.png@OlD3D0C5.67693840} Janice Franklin, CAMS, CFSA, CFIRS Vice President I AML Compliance Officer Deutsche Bank Americas Regulation, Compliance & Anti-Financial Crime 60 Wall York, NY, USA Tel. Email From: Sheffali Welch Sent: Wednesday, April 04, 2018 2:41 PM To: Janice Franklin c: I niter ss anger Adrienne Bull Wayne Salit oonsun ung Kshitij Golani u jec : •egu ar Reviews: High Risk clients [I] Classification: For internal use only Hi Janice, Below is the schedule of high risk KYCs that are coming due each month through the year. Is this what you are looking for? Row Labels 1/31/2018 2/28/2018 3/31/2018 4/30/2018 5/31/2018 6/30/2018 EFTA01420671 7/31/2018 8/31/2018 9/30/2018 10/31/2018 11/30/2018 12/31/2018 Grand Total High 60 74 44 105 85 80 65 124 71 117 85 79 989 EFTA01420672 Kind regards, Sheffali fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Sheffali Welch Managing Director I COO, Wealth Management Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY, USA Tel: Mobil deutschewealth.com From: Janice Franklin Sent: Wednesday, A ril 04 2018 2:11 PM To: Adrienne Bull Cc: Sheffali Welch Oliver Esslinger Wayne Salit Ksnitij Golani Subject: 2018 Regular Reviews: High Risk clients oonsun Chung EFTA01420673 Hi Adrienne: For the 2018 Regular Reviews for high risk clients, do you have a listing of the KYCs/clients by due date (i.e., January, February, March)? If so, please send us a list. Thanks. Regards, Janice P. Franklin {cid:image002.png@OlD3CC22.F2F56840} Janice Franklin, CAMS, CFSA, CFIRS Vice President I AML Compliance Officer Deutsche Bank Americas Regulation, Compliance & Anti-Financial Crime 60 Wall Street 10005-2836 New York, NY, USA Tel. Email EFTA01420674