EFTA Document EFTA01477533

Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] From: Armen Brash Date: Mon, 07 Mar 2016 11:02:32 -0500 To: Amanda Kirby Melisa Venegas Mildred Hernandez Melinda Roy Cc: Paul Morris •fl> Classification: For internal use only Sorry Amanda and Melinda—this should go t JJ- see below Melisa: can you update your list, JJ supports Paul Best, Armen {cid:[email protected]} Armen Brash Director Deutsche Bank Wealth Management 345 Park Avenue, Tel. Mobile Email 10154-0004 New York, NY, USA Fax fcid:[email protected] From: Amanda Kirby EFTA01477533 Sent: Monday, March 07, 2016 10:51 AM To: Melisa Venegas; Mildred Hernandez; Melinda Roy Cc: Paul Morris; Armen Brash Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] Classification: For internal use only Melinda - FYI Best, Amanda Kirby fhttps://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gifl Amanda Kirby Deutsche Deutsche 345 Park Tel. ■ Fax Email ■ Bank Trust Company Americas Bank Wealth Management Avenue, 10154-0004 New York, NY, USA fhttps://brandportal.intranet.db.com/img/modules/claim_en_rgb.gifl 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] EFTA01477534 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 SOUTHERN FINANCIAL RELATIONSHIP Paul Morris EFTA01477535 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 10005-2836 New York, NY, USA Tel.: Email {cid:[email protected]} EFTA01477536