EFTA Document EFTA01369510

From: Mildred Hernande Sent: 3/7/2016 10:49:58 AM To: Stewart Oldfield Jj Litchford CC: Armen Brash Subject: FW: ACTION REQUIRED: Issue related to ACUs [I] Classification: For Internal use only fyi 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 SOUTHERN FINANCIAL RELATIONSHIP Paul Morris 499733 WE, 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, Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212)250-1493 Email PA.ffrits-pt i trr Pegoren CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0061806 CONFIDENTIAL SDNY_GM_00207990 EFTA01369510