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EFTA Document EFTA01477527EFTA Document EFTA01477530
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sd-10-EFTA01477528Dept. of JusticeOther

EFTA Document EFTA01477528

Subject: ACTION REQUIRED: Issue related to ACUs [I] From: Melisa Venegas <[email protected]> Date: Mon, 07 Mar 2016 10:49:04 -0500 To: Amanda Kirby Mildred Hernandez Cc: Paul Morris Armen Brash 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 NO

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Subject: ACTION REQUIRED: Issue related to ACUs [I] From: Melisa Venegas <[email protected]> Date: Mon, 07 Mar 2016 10:49:04 -0500 To: Amanda Kirby Mildred Hernandez Cc: Paul Morris Armen Brash 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 NO

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Subject: ACTION REQUIRED: Issue related to ACUs [I] From: Melisa Venegas <[email protected]> Date: Mon, 07 Mar 2016 10:49:04 -0500 To: Amanda Kirby Mildred Hernandez Cc: Paul Morris Armen Brash 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 LSJE, LLC EFTA01477528 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, fcid:[email protected] Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street 10005-2836 New York, NY, USA Tel.: Email fcid:[email protected] EFTA01477529

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Related Documents (6)

DOJ Data Set 10CorrespondenceUnknown

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Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue. 10154-0004 New York, NY, USA Tel. «1 212 454-6439 Fax +1 646 736-0695 Email amanda kirby©db.com Passio-wir Ampon. Securities offered through Deutsche Bank Securities Inc. 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 A

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Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] From: Jj Litchford ‹ > Date: Tue, 08 Mar 2016 11:19:46 -0500 To: Melisa Venegas Cc: Paul Morris Armen Brash Classification: For internal use only This has been taken care of fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl JJ Litchford Associate Banker Deutsche Deutsche 345 Park Tel. Fax Mobile Email Bank Trust Company Americas Bank Wealth Management Avenue, Floor 24 10154-0004 New York

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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

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