EFTA Document EFTA01477544

Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] From: Melisa Venegas Date: Tue, 08 Mar To: Jj Litchford Cc: Paul Morris Armen Brash Classification: For internal use only Thanks JJ! fcid:[email protected] Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: Email {cid:[email protected]} From: Jj Litchford Sent: Tuesday, March 08, 2016 11:20 AM To: Melisa Venegas Cc: Paul Morris; Armen Brash Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] 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 EFTA01477544 Associate Banker Deutsche Deutsche 345 Park Tel. Fax Mobi Emai Bank Trust Company Americas Bank Wealth Management Avenue, Floor 24 10154-0004 New York, NY, USA {https://brandportal.intranet.db.com/img/modules/claim_en_rgb.gif} Securities offered through Deutsche Bank Securities Inc. From: Melinda Roy Sent: Monday, March 07, 2016 10:56 AM To: Jj Litchford Subject: FW: ACTION REQUIRED: Issue related to ACUs [I] Classification: For internal use only See below From: Paul Morris Sent: Monday, March 07, 2016 10:55 AM To: Melisa Venegas Cc: Armen Brash; Melinda Roy Subject: RE: ACTION REQUIRED: Issue related to ACUs [I] Thank you we will get it done. Thanks Original Message From: Melisa Venegas Sent: Monday, March 07, 2016 10:49 AM Eastern Standard Time EFTA01477545 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 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 EFTA01477546 Please let me know if you have any questions and please let me know when this has been completed. Thank you. Regards, {cid:[email protected]} Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: Email fcid:[email protected] EFTA01477547