EFTA Document EFTA01399057

From: Kimberly Hart Sent: Monday, October 15, 2018 10:13 AM To: Oliver Ess Emily Craig <=I III >; Melisa Venegas ; Jonathan Groom < ; Cc: zia Memon Subject: Re: FIM Relationships and FIMs - KYC Tracker [I] I was not aware that you were looking for feedback. There are customer owners assigned to the FIMs in DBForce. They would be responsible for the KYCs. If these are active FIMs, KYCs need to be completed as soon as possible. Additionally, the high risk FIM needs a KYC update as well. Finally, I am still not confident that the list is complete. Are we moving forward with reaching out to the Bankers to get confirmations? Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. +1 212 454-2877 Fax +1 646 863-9809 Mobile +1 Email Securities offered through Deutsche Bank Securities Inc On Oct 15, 2018, at 9:18 AM, Oliver Esslingen wrote: Classification: For internal use only Hi Kim/Zia/Jonathan: EFTA01399057 Does either one of you have a chance to opine on this, if possible sometime today? Thank you Oliver <image001.gif> Oliver Esslinger Director I COO Head of Business Integrity Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA Tel.: +1 (212) 454-0439 Fax: +1 (646) 690-1201 Email: www.deutschewealth.com From: Melisa Venegas Sent: Friday, October 12, 2018 9:48 AM To: Jonathan Groom a> Cc: zia Memon < >; Derek St-Hilaire lia; Emily Craig <Sila; Oliver Esslinger < IMe; Kimberly Hart Subject: RE: FIM Relationships and FIMs - KYC Tracker [I] Classification: For internal use only EFTA01399058 Good morning Jonathan, I wanted to confirm that the FIM you sent earlier are now on the tracker for remediation. There are several (in red below) that do not have a KYC in file, can you please confirm who will work on this initial KYC? FIM Name GCIS Number Risk Last Approved KYC Noyes LLC 518190 Moderate 9/16/2015 True Capital Management 478356 Low 5/14/2013 BP Finance 508565 High 7/17/2015 Matter Family Office (Deutsche Bank Cayman Ltd) 577095 Low EFTA01399059 None WE Family Offices 490175 Low None AON Insurance Managers (Cayman) Ltd 508954 Low None Global Captive Management 508716 Low None Partners Capital S.A. (formerly Drizay Corporation S.A.) 508401 Moderate 5/10/2016 Legg Mason (1919 Investment Councel LLC) 422798 Low KYC in progress (#01916145) Hamlin Capital Management, LLC EFTA01399060 438956 Moderate 7/12/2017 Hirtle Callaghan & Co 423293 Moderate 7/17/2017 South Street Advisors LLC 212002 Low 7/21/2017 Windsor Advisory Group LLC 409946 Low 11/7/2013 Kerr Financial Group 457420 Low None Seamans, Richard F. 384606 Low 7/28/2009 EFTA01399061 Wright Investors Service 458724 Low 12/22/2012 Chilton Trust Company 524177 Low None Algonquin Advisors LLC 469712 Low None Thank you <image002.jpg> Melisa Venegas Deutsche Bank Wealth Management EFTA01399062 Deutsche Bank Trust Company Americas 345 Park Avenue, 26th floor, New York, NY 10154 Tel: + 1 212 250 1493 Securities offered through Deutsche Bank Securities Inc From: Jonathan Groom Sent: Thursday, October 04, 2018 4:02 PM To: Melisa Venegas Cc: zia Memon ; Derek St-Hilaire Subject: FIM Relationships and FIMs - KYC Tracker [I] Classification: For internal use only Hi Melisa, Will you please review the revised FIM Register and verify that these names are listed on the KYC tracker? I carried over the info from your previous check, but we've added several new FIMs to the register. They are also prospects in dbForce, so it's doubtful they are on the tracker. If they are not listed, will you please add them? Please let me know if you have any questions. Thanks, Kind regards, Jonathan Groom <image003.gif> Jonathan Groom EFTA01399063 Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA Tel. +1 904 645-1084 Mobile +1 Email Securities offered through Deutsche Bank Securities Inc. EFTA01399064