EEA (ex-Germany) Cross-Border Implementation WM Americas — Front Office Training September 2018 EFTA01399077 Agenda Reverse Solicitation 3. 4 5. 6 Key Changes Impacting WM Americas EEA Business 6. 7 7 8 9 10-11 UK Brokerage Accounts — Financial Promotions…
…the Client is exiting the firm. period reviewed and explain the purpose I use of the funds, including any international/cross border wires: Before answering the following question please review the Yes Annual Account History Activity Summary Report that has…
…also? will run through the list again Begin forwarded message: From: Dat To: Subject: Senior Interior Designer (Upper East Side) ** CRAIGSLIST ADVISORY --- AVOID SCAMS BY DEALING LOCALLY Avoid: wiring money, cross-border deals, work-at-home Beware: cashier checks, money…
…and select institutions for more than a century Key Client Partners (KCP) Key Client Partners aims to provide select sophisticated investors seamless access to cross asset class, cross border investment opportunities and financing solutions from Deutsche Asset & Wealth Management (DeAWM)…
…Endowments — Private Companies — Small-Medium Sized Institutions Cross Border — USA — Latin America — Europe — Asia Pacific — Middle East (1) Institutional investors only as defined by FINRA 2111 (2) KCP services are offered to a select group of DeAWM clients who are…
…we are permitted to proceed with the relationship as long as we follow the cross border guidelines for the EEA country. Referrals do NOT constitute revserse solicitation. The person being referred must initiate the contact Accommodation trades for all EEA…
…Estimated Income. Net Worth stage because loans do not go avow" India • NCN US CLIENTS ONLY 0 Cross Border Approval (e) If there is any negative news, assure to summana it In OBIate. 0 CRP Escalation…
…See above - relationship is leaving the finn. period reviewed and explain the purpose / use of the funds. Including any International/cross border wires: Before answering the following question please review the Yes Annual Account History Activity Summary Report that has …
…Nothing additional to note and within expectations. period reviewed and explain the purpose f use of the funds, including any International/cross border wires: Before answering the following question please review the Yes Annual Account History Activity Summary Report that…
…and marketing materials, reverse solicitation must be evidenced in a Cross Border Call Note, which gives a detailed explanation of how and when the customer asked you to provide said documents. Account Opening Review Group by Product Type Account Opening…
…activity dunng the nothing additional to note. period reviewed and explain the purpose / use of the funds, including any international/cross border wires: Before answering the following question please review the Yes Annual Account History Activity Summ…
…Forum Escalations 2 new clients reviewed Navarro — Accepted Patronato Benefico Oriental of the US - Rejected 7 (Slide 8) Complex Structures 2 Aromatiss and Long Term Insured Credit Fund 8 (Slide 10) Cross Border Training 4 trainings Connect2Learn: 3 online trainings…
…!nee NON USCLIENTS ONLY (I Cross Border Approval (0)II there is any negative news, assure to summand it in Lenore. (1 CRP Escalation Body Approval- Escape:ma la kcal eve country let nominal NO (c) Make sure the PEP…
…Etta/late," income Net Worth -ay elcai.SC roan. do not go threogh Inds • RCN US CLEATS ONLY 0 Cross Border Approval ID) if there is any negative news. assure to summarize It In OBlorce. 0 CRP Eeislatioll Body Approval…
… 1 training Cross Border Training 4 trainings (Slide 10) delivered remotely 2 …
…10 exit the firm - in progress. period reviewed and explain the purpose I use of the funds, Including any International/cross border wires: Before answering the following question please review the Yes Annual Account History Activity Summary Report that has…
…new conflict with Israel. In its thirty-four-day war against Israel in 2006 -- which the group sparked in July by launching a cross-border kidnapping operation -- Hizballah used and lost much of its arsenal and infrastructure, requiring years of…
…lYcxn stage because loans da not go droop, Mee . NON USGIANTS ONLY Cross Border Approval (0)Ifthere is any negative news. assure to summaribe It In Deforce. 0 CRP Escalation Body Approval ExoeMions…
…he:Wired at KYC *tage beosjo.)roa. ns do not go through Inca* • NON US CLIENTS ONLY 0 Cross Border Approval 0 CRP Escalabon Body Approval • Erocipbons so local ore courCry list pannirdad. NO EXCEPT *NS roe Global earl countries…
…nee bar»(CRP forme are reduced at KYC stage Octavio oane Co not go through India - NON US CLIENTSONLY 0 Cross Border Approval 0 CRP Escalation Body Approval- Exag0Xen to ballMI Camas Mt permitted NO EXCEPTIONS for Global exit countries …