Case File
efta-01356376DOJ Data Set 10OtherEFTA01356376
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01356376
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
Fully Approved
with Banker Team**
with Manager Director (MD)
with ABR/AFC
# of Downgrades (No longer
HR)
168
35
16
65
325
56
40
181
1
3
46
13
14
8
51
20
12
10
* Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm.
** Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC.
Week over Week
FIR Client Remediation Progress
Crciovol
ZO)
CS;
cif;
CO)
IOW
1149
Regards,
Rodrigo
Rodrigo Quintero
Vice President
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management
5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA
Tel.
Email
9
2
4
299
36
10
as NCR
3
7
1
5
12 MEM
5
2
105
• WO. 17
• e10017
• 6/1O2T17
• tsar1117
• 7/7/2017
• 7041:1017
• ?,41;201?
• 71231201,
• 1/4C:017
• etart17
IN Of LS/2017
• 9.11101;
■9,9
17
• 9/1712017
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0042222
CONFIDENTIAL
SDNY_GM_00188406
EFTA01356376
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