EFTA Document EFTA01409187

Subject: RE: Missed conversation with Matthew-3 Purcell From: Matthew-J Purcell ‹ > Date: Fri, 16 Mar 2018 16:05:25 -0400 To: Cynthia Rodriguez < ::• do you remember the client by any chance? KYC number? I will search for it Matthew Purcell Assistant Vice President I AML Compliance Deutsche Bank 60 Wall Street, 10005-2836 New York, NY, USA Tel. Email From: Cynthia Rodriguez Sent: Friday, March 16, 2018 4:04 PM To: Matthew-3 Purcell < › Subject: RE: Missed conversation with Matthew-3 Purcell Hi Matthew, It should be attached in the recently approved case. Since this case was submitted for review prior to the certificate expiring, would you please accept it or provide an alternative item that will be accepted? Our client will close this account if we go back to request an updated one. We just dealt with this yesterday on one of their other accounts. Yoonsun was very helpful. Sent with BlackBerry Work (www.blackberry.com) EFTA01409187 From: Matthew-J Purcell ‹ > Date: Friday, Mar 16, 2018, 3:41 PM To: Mattl , Cynthia Rodriguez Subject: Missed conversation with Matthew-J Purcell Matthew-J Purcell 9:01 AM: Hello Cynthia Cynthia Rodriguez 9:01 AM: hello matthew Matthew-J Purcell 9:01 AM: How are you? Cynthia Rodriguez 9:01 AM: lol good and you?> Matthew-J Purcell 9:01 AM: EFTA01409188 I am working on KYC 1850140 good. By any chance do you have the escalation email and clearance to Rep Risk Kimberly Hart Matthew-J Purcell 9:08 AM: I can send it back and you can upload it when they come back if you dont have it Cynthia Rodriguez 9:10 AM: sorry was on a call one sec yesss i have the rep risk approvallll ill send it over now they agreed to continue the relationship but make him high risk going forward to monitor him EFTA01409189 Cynthia Rodriguez 9:19 AM: im hoping it just gets approved causeeeeee my last day at the firm is 3/21 (u) Matthew-J Purcell 9:21 AM: Congrats to you! and sad to hear because you're very good Cynthia Rodriguez 9:22 AM: thank youuuuu\ It's a really good opportunity and in the compliance field so even better Matthew-J Purcell 9:22 AM: that's a good field to be in Cynthia Rodriguez 9:24 AM: it certainly is....especially when they've beat me to a pulp with kycs here EFTA01409190 hahahaha Matthew-J Purcell 9:24 AM: :D:D:D Matthew-J Purcell 10:45 AM: just to confirm the rep risk approval was obtained on 03/07/2018? Cynthia Rodriguez 10:45 AM: yupp Matthew-J Purcell 10:45 AM: thank you Matthew-J Purcell 10:50 AM: approved Cynthia Rodriguez 12:22 PM: resubmitted guardian for you let me know if i missed anything EFTA01409191 Matthew-J Purcell 9:03 AM: hey Cynthia Rodriguez 9:56 AM: heyyy Matthew-J Purcell 1:20 PM: Hey sorry to bother you but the TIN # for The Caterpillar Trust 2017 is an individuals can you provide me with the correct TIN and i will update it right away Cynthia Rodriguez 1:26 PM: 26-6639711 Matthew-J Purcell 3:39 PM: hey can you provide me with the certificate of good standing for ING Barings Global Leveraged Equity Plan Ltd. EFTA01409192