EFTA01399147

From: To: Cc: Janice Franklin Sylvia Escobar Derek St-Hilaire Subject: Date: Attachments: RE: EEA Client Notation in dbForce Wednesday, November 28, 2018 9:20:43 AM image004.png image003.png Good morning Sylvia: Hope all is well. Have you identified any KYCs where a primary decision maker was not identified? As previously stated in the October 17th call, AFC is reviewing for primary decision maker and EEA clients. After the October meeting, the requirement was reiterated to the AFC team and detailed guidance provided. Moreover, I included the requirement on the quick reference section of our KYC Checklist. Regards, Janice P. Franklin 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. +1 212 250-4430 Email From: Sylvia Escobar Sent: Tuesday, November 27 2018 5:38 PM To: Derek St-Hilaire ; Janice Franklin Subject: EEA Client Notation in dbForce Dear All, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia *Sylvia Escobar Vice President Deutsche Bank Securities Inc. Wealth Management-Americas I South Street, 21202-3298 Baltimore. MD. USA Tel: +1 410 895-2021 Mobile: +1 Email: EFTA01399147