EFTA Document EFTA01402878

Subject: Re: FW: FW: Fw: 2014 AML KYC Audit [I] From: Ying-A Wang <M > Date: Wed, 17 Sep 2014 17:41:22 -0400 To: Jonathan Cheng Cc: Cherie Quigley Matthew Germond Wayne Salit Classification: For internal use only Johnathan, Enclosed please find relevant files for alert, case, and PCS alert assignments. (See attached file: Monthly Case Assignments.xlsx)(See attached file: Alert Assignments Sep13-Jul14.xlsx)(See attached file: Audit Actimize Alerts Sep13- Jul14.xlsx) Kind regards, Ying Wang Ying Wang Wealth Management AML Deutsche Bank Trust Company Americas 60 Wall Street, 10005-2836 New York, NY, USA Tel. Email {Inactive hide details for Jonathan Cheng---09/17/2014 05:38:50 PM--- Classification: For internal use only Ying,}Jonathan Cheng---09/17/2014 05:38:50 PM---Classification: For internal use only Ying, From: Jonathan Cheng/ext/dbcom@DBCOEX To: Ying-A Wang/db/dbcom@DBAMERICAS, Cc: EFTA01402878 Wayne Salit/db/dbcom@DBAMERICAS, Cherie Quigley/db/dbcom@DBAMERICAS, Matthew Germond/db/dbcom@DBAMERICAS Date: 09/17/2014 05:38 PM Subject: FW: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Ying, Please provide me with the below deliverable you sent to Pradeepta so I can record appropriately in the AML Compliance files. As mentioned previously, I've been asked to coordinate all requests and deliveries between the Audit team and AML Compliance. Please send all request responses to me and I will forward to Audit. Thank you in advance for your assistance and cooperation. John From: Pradeepta Roy Sent: Wednesday, September 17, 2014 5:27 PM To: Ying-A Wang Cc: Cherie Quigley; Wayne Salit; Jonathan Cheng Subject: Re: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Thank you very much Ying. Kind regards, Pradeepta fcid:1 [email protected] Pradeepta Roy Vice President I Group Audit Deutsche Bank AG, Filiale New York EFTA01402879 GA-Legal, Compliance, GRAD, HR, Co-Chairmen 60 Wall Street, 32nd Floor New York, NY 10005-2836 USA Tel. Fax Email fcid:2 [email protected] {Inactive hide details for Ying-A Wang---09/17/2014 05:16:06 PM--- Classification: For internal use only Pradeepta, Enclosed plea}Ying-A Wang---09/17/2014 05:16:06 PM---Classification: For internal use only Pradeepta, Enclosed please find alert and case assignments for fcid:[email protected] From: {cid:[email protected]} Ying-A Wang/db/dbcom fcid:[email protected] To: {cid:[email protected]} Pradeepta Roy/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Wayne Salit/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 09/17/2014 05:16 PM {cid:[email protected]} Subject: {cid:[email protected]} Re: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Pradeepta, Enclosed please find alert and case assignments for scope range requested for PRIME and PCS. Thank you. [attachment "Audit Actimize Alerts Sep13-Jul14.xlsx" deleted by Pradeepta Roy/db/dbcom] [attachment "Alert Assignments Sep13-Jul14.xlsx" deleted by Pradeepta Roy/db/dbcom] [attachment "Monthly Case Assignments.xlsx" deleted by Pradeepta Roy/db/dbcom] EFTA01402880 Kind regards, Ying Wang {cid:1 [email protected]} Ying Wang Wealth Management AML Deutsche Bank Trust Company Americas 60 Wall Street, 10005-2836 New York, NY, USA Tel. Email {cid:2 [email protected]} {Inactive hide details for Pradeepta Roy---09/16/2014 05:57:35 PM--- Classification: For internal use only That's fine.}Pradeepta Roy---09/16/2014 05:57:35 PM---Classification: For internal use only That's fine. {cid:[email protected]} From: {cid:[email protected]} Pradeepta Roy/db/dbcom {cid:[email protected]} To: {cid:[email protected]} Ying-A Wang/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Wayne Salit/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 09/16/2014 05:57 PM {cid:[email protected]} Subject: {cid:[email protected]} Re: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only That's fine. Thank you, EFTA01402881 Pradeepta {cid:1 [email protected]} Pradeepta Roy Vice President I Group Audit Deutsche Bank AG, Filiale New York GA-Legal, Compliance, GRAD, HR, Co-Chairmen 60 Wall Street, 32nd Floor New York, NY 10005-2836 USA Tel. Fax Email {cid:2 [email protected]} {Inactive hide details for Ying-A Wang---09/16/2014 05:56:29 PM--- Classification: For internal use only Pradeepta, Can we get th}Ying-A Wang---09/16/2014 05:56:29 PM---Classification: For internal use only Pradeepta, Can we get the spreadsheets to you EOD tomorrow? {cid:[email protected]} From: {cid:[email protected]} Ying-A Wang/db/dbcom {cid:[email protected]} To: {cid:[email protected]} Pradeepta Roy/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Wayne Salit/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 09/16/2014 05:56 PM {cid:[email protected]} Subject: {cid:[email protected]} Re: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only EFTA01402882 Pradeepta, Can we get the spreadsheets to you EOD tomorrow? -Ying {Inactive hide details for Pradeepta Roy---09/16/2014 05:44:58 PM--- Classification: For internal use only I apologize for that Y}Pradeepta Roy---09/16/2014 05:44:58 PM---Classification: For internal use only I apologize for that Ying. Regarding the spreadsheets, the and {cid:[email protected]} From: {cid:[email protected]} Pradeepta Roy/db/dbcom fcid:[email protected] To: {cid:[email protected]} Ying-A Wang/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Wayne Salit/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 09/16/2014 05:44 PM {cid:[email protected]} Subject: {cid:[email protected]} Re: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only I apologize for that Ying. Regarding the spreadsheets, the audit scope date range is September 1, 2013 to July 31, 2014. Kind regards, Pradeepta fcid:1 [email protected] Pradeepta Roy Vice President I Group Audit Deutsche Bank AG, Filiale New York GA-Legal, Compliance, GRAD, HR, Co-Chairmen EFTA01402883 60 Wall Street, 32nd Floor New York, NY 10005-2836 USA Tel. Fax Email {cid:2 [email protected]} {Inactive hide details for Ying-A Wang---09/16/2014 03:09:23 PM--- Classification: For internal use only Hi Pradeepta, I believe}Ying-A Wang---09/16/2014 03:09:23 PM---Classification: For internal use only Hi Pradeepta, I believe Wayne sent you manuals for WM on 9/11. {cid:[email protected]} From: {cid:[email protected]} Ying-A Wang/db/dbcom {cid:[email protected]} To: {cid:[email protected]} Pradeepta Roy/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Wayne Salit/db/dbcom@DBAMERICAS, Cherie Quigley/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 09/16/2014 03:09 PM {cid:[email protected]} Subject: {cid:[email protected]} Re: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Hi Pradeepta, I believe Wayne sent you manuals for WM on 9/11. As for the spreadsheets, what audit scope date range do you need the data from? Also, from now on, please send correspondance to is a different person. -Ying EFTA01402884 {Inactive hide details for Ying Wang---09/16/2014 02:29:14 PM---Guess it is yours... J}Ying Wang---09/16/2014 02:29:14 PM---Guess it is yours... 3 {cid:[email protected]} From: {cid:[email protected]} Ying Wang/db/dbcom@DBCOEX fcid:[email protected] To: {cid:[email protected]} Ying-A Wang/db/dbcom@DBAMERICAS, fcid:[email protected] Date: {cid:[email protected]} 09/16/2014 02:29 PM fcid:[email protected] Subject: {cid:[email protected]} FW: Fw: 2014 AML KYC Audit [I] Guess it is yours... 3 Regards, Peter Wang From: Pradeepta Roy Sent: Tuesday, September 16, 2014 14:24 To: Ying Wang Cc: Cherie Quigley; Wayne Salit Subject: Re: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Hi Ying: Hope all is well. At your earliest convenience, please provide me an update on the information requested below. Kind regards, Pradeepta fcid:1 [email protected] Pradeepta Roy Vice President I Group Audit EFTA01402885 Deutsche Bank AG, Filiale New York GA-Legal, Compliance, GRAD, HR, Co-Chairmen 60 Wall Street, 32nd Floor New York, NY 10005-2836 USA Tel. Fax Email {cid:2 [email protected]} {Inactive hide details for Pradeepta Roy---09/08/2014 12:52:28 PM--- Classification: For internal use only Hi Ying: Presently, I}Pradeepta Roy---09/08/2014 12:52:28 PM---Classification: For internal use only Hi Ying: Presently, I will be the main point of contact. Pleas {cid:5 [email protected]} From: {cid:6 [email protected]} Pradeepta Roy/db/dbcom {cid:5 [email protected]} To: {cid:er [email protected]} Ying-A Wang/db/dbcom@DBAMERICAS, {cid:5 [email protected]} Cc: {cid:6 [email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Christy Wolanski/db/dbcom@DBAMERICAS, Michael Greiche/db/dbcom@DBAMERICAS, Yang-A Chen/db/dbcom@DBAMERICAS {cid:5 [email protected]} Date: {cid:6 [email protected]} 09/08/2014 12:52 PM {cid:5 [email protected]} Subject: {cid:6— [email protected]} Re: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Hi Ying: Presently, I will be the main point of contact. Please provide the spreadsheets and relevant KOPs by next Tuesday, 9/16. Much appreciated, EFTA01402886 Pradeepta {cid:1 [email protected]} Pradeepta Roy Vice President I Group Audit Deutsche Bank AG, Filiale New York GA-Legal, Compliance, GRAD, HR, Co-Chairmen 60 Wall Street, 32nd Floor New York, NY 10005-2836 USA Tel. Fax Email {cid:2 [email protected]} {Inactive hide details for Ying-A Wang---09/08/2014 12:20:29 PM--- Classification: For internal use only Hi Pradeepta, I'm sorry}Ying-A Wang---09/08/2014 12:20:29 PM---Classification: For internal use only Hi Pradeepta, I'm sorry to hear that about Rachael, will you b {cid:- 5 [email protected]} From: {cid:6 [email protected]} Ying-A Wang/db/dbcom {cid:5 [email protected]} To: {cid:6 [email protected]} Pradeepta Roy/db/dbcom@DBAMERICAS, {cid:5 [email protected]} Cc: {cid: — [email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Christy Wolanski/db/dbcom@DBAMERICAS, Michael Greiche/db/dbcom@DBAMERICAS, Yang-A Chen/db/dbcom@DBAMERICAS {cid:5 [email protected]} Date: {cid:6 [email protected]} 09/08/2014 12:20 PM {cid:5 [email protected]} Subject: {cid:6 [email protected]} Re: Fw: 2014 AML KYC Audit [I] EFTA01402887 Classification: For internal use only Hi Pradeepta, I'm sorry to hear that about Rachael, will you be my point of contact from now on? We will be able to provide you a the spreadsheet you requested. When do you need this by? Thank you. -Ying {Inactive hide details for Pradeepta Roy---09/08/2014 11:36:51 AM--- Classification: For internal use only Hi Yang: Regarding PB}Pradeepta Roy---09/08/2014 11:36:51 AM---Classification: For internal use only Hi Yang: Regarding PB Alerts, Cases, and PCS Alerts, are you a {cid:- 5 [email protected]} From: {cid:6 [email protected]} Pradeepta Roy/db/dbcom {cid:5 [email protected]} To: {cid:6 [email protected]} Yang-A Chen/db/dbcom@DBAMERICAS, {cid:5 [email protected]} Cc: {cid:6 [email protected]} Cherie Quigley/db/dbcom@DBAMERICAS, Ying-A Wang/db/dbcom@DBAMERICAS, Christy Wolanski/db/dbcom@DBAMERICAS, Michael Greiche/db/dbcom@DBAmericas {cid:5 [email protected]} Date: {cid:6 [email protected]} 09/08/2014 11:36 AM {cid:5 [email protected]} Subject: {cid:6 [email protected]} Re: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Hi Yang: Regarding PB Alerts, Cases, and PCS Alerts, are you able to provide a spreadsheet that reflect all alerts/cases generated as well as a spreadsheet that reflects the ones that were sampled? EFTA01402888 Please advise. Kind regards, Pradeepta {cid:1 [email protected]} Pradeepta Roy Vice President I Group Audit Deutsche Bank AG, Filiale New York GA-Legal, Compliance, GRAD, HR, Co-Chairmen 60 Wall Street, 32nd Floor New York, NY 10005-2836 USA Tel. Fax Email {cid:2 [email protected]} {Inactive hide details for Yang-A Chen---09/08/2014 08:49:08 AM--- Classification: For internal use only Hi Rachael, Pradeepta, W}Yang-A Chen---09/08/2014 08:49:08 AM---Classification: For internal use only Hi Rachael, Pradeepta, We do a sampling of a majority of our P {cid:- 5 [email protected]} From: {cid:6 [email protected]} Yang-A Chen/db/dbcom {cid:5 [email protected]} To: {cid:6 [email protected]} Rachael Natale/db/dbcom@DBAMERICAS, Pradeepta Roy/db/dbcom@DBAMERICAS, {cid:5 [email protected]} Cc: {cid:6 [email protected]} Ying-A Wang/db/dbcom@DBAMERICAS, Cherie Quigley/db/dbcom@DBAMERICAS, Wayne Salit/db/dbcom@DBAMERICAS {cid:5 [email protected]} Date: {cid:6 [email protected]} 09/08/2014 08:49 AM {cid:5 [email protected]} Subject: {cid:6 [email protected]} Fw: 2014 AML KYC Audit [I] EFTA01402889 Classification: For internal use only Hi Rachael, Pradeepta, We do a sampling of a majority of our PCS and PB Alerts, and we review about 1/4-1/5 of PB cases generated. We have PB Alerts, Cases, and PCS Alerts. Do you want a spreadsheet with all Alerts/cases generated (some of which could be auto closed)? or just the ones sampled. This is also my last week at DB so please refer all further requests to Ying and Cherie (she will be stepping into Clarissa's role) Kind regards, {cid:1 [email protected]} Yang Chen AVP I Wealth Management AML Deutsche Bank Securities Inc. 37th Floor, 60 Wall Street, 10005 New York, NY, USA Tel. +1(212)250-7935 Email [email protected] {cid:2 [email protected]} Forwarded by Yang-A Chen/db/dbcom on 09/08/2014 08:45 AM {cid:- 5 [email protected]} From: {cid:6 [email protected]} Wayne Salit/db/dbcom {cid:5 [email protected]} To: {cid:6 [email protected]} Rachael Natale/db/dbcom@DBAMERICAS, Pradeepta Roy/db/dbcom@DBAMERICAS, {cid:5 [email protected]} Cc: {cid:6 [email protected]} Yang-A Chen/db/dbcom@DBAMERICAS, Ying-A Wang/db/dbcom@DBAMERICAS {cid:5 [email protected]} Date: {cid:6 [email protected]} 09/04/2014 04:59 PM {cid:5 [email protected]} Subject: {cid:6 [email protected]} Fw: 2014 AML KYC Audit [I] EFTA01402890 Classification: For internal use only Hello Rachael - Thanks for the notice, but both Ying Wang and Yang Chen are out of the office until Monday, September 8. One or both of them will get back to you on Monday. Kind regards, Wayne Salit {cid:1 [email protected]} Wayne Salit Deutsche Bank Securities Inc. 60 Wall Street, 10005-2836 New York, NY, USA Tel. Fax Email {cid:2 [email protected]} Forwarded by Wayne Salit/db/dbcom on 09/04/2014 04:39 PM {cid:- 5 [email protected]} From: {cid:6 [email protected]} Rachael Natale/db/dbcom {cid:5 [email protected]} To: {cid:6 [email protected]} Ying-A Wang/db/dbcom@DBAMERICAS, [email protected], {cid:5 [email protected]} Cc: {cid:6 [email protected]} Wayne Salit/db/dbcom@DBAMERICAS, Pradeepta Roy/db/dbcom@DBAMERICAS {cid:5 [email protected]} Date: {cid:6 [email protected]} 09/04/2014 04:28 PM {cid:5 [email protected]} Subject: {cid:6 [email protected]} 2014 AML KYC Audit [I] EFTA01402891 Classification: For internal use only Hi, I am part of the AWM audit team and I will be reviewing the transaction monitoring for the PWM businesses (PB and PCS). I would like to have a walkthrough sometime early next week including both of you if possible. Please let me know if your calendars are up to date so that I may schedule a meeting In addition, I would like to begin selecting my sample for testing. Can you please provide the following: - all alerts for the PCS business from Aug 2013 through Aug 2014 - all alerts for the PB business from Aug 2013 through Aug 2014 Thanks and look forward to meeting with you! Kind regards, Rachael Natale {cid:1 [email protected]} Rachael Natale Principal Auditor Deutsche Bank AG, Filiale New York Group Audit 60 Wall Street, 10005-2836 New York, NY, USA Tel. Mobile Email {cid:2 [email protected]} EFTA01402892 EFTA01402893