EFTA01356167.pdf PDF
WM OPS Regulatory - Risk & Control 60 Wall Street New York NY 10005 Tel #( From: Paolo De-Leon Sent: Thursday, January 18, 2018 11:07 AM To: Surendra Singh >; Abhilt Mukherjee < >; Debra Jasper >; Halina Laczny < Cc…
Found 331 results
for “regulatory”
in 71ms
EFTA01370307.pdf PDF
Deutsche Bank MANAGEMENT SUMMARY Regulatory/Audit Fed Exam • AML Compliance submitted response and remediation plan. 12-month review of CTRs and 345 Branch Operations Risk Assessment was completed in August 2013, and submitted to managem…
EFTA01368861.pdf PDF
Deutsche Bank MANAGEMENT SUMMARY Regulatory/Audit Fed Exam • AML Compliance submitted response and remediation plan. 12-month review of CTRs and 345 Branch Operations Risk Assessment was completed in August 2013, and submitted to managem…
EFTA01384731.pdf PDF
HUBUS133 Alpha Group Capital AUTHORIZATION REQUIREMENTS: IDENTIFICATION Governments and regulatory agencies in jurisdictions globally impose specific requirements on financial institutions to combat money laundering, terrorist financing, tax evasion, and other criminal activities (collectively, these activities are …
EFTA01399165.pdf PDF
EEA Retain — Project Documentation Background: As a result of the regulatory environment in the EEA, WM Americas decided to further analyze its current EEA account population and identify relationships/accounts meeting financial thresholds established by management and with account holders…
EFTA01356014.pdf PDF
Classification: For Internal use only Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street From: Paolo De-Leon Sent: Thursday, January 11, 2018 9:57 AM To…
EFTA01878696.pdf PDF
…s resignation as Chief Executive of Barclays bank clearly marks a turning point in the politics of banking in the UK. • The most significant political and regulatory outcome from these events will be to renew the debate about universal banking…
EFTA01356126.pdf PDF
Paolo, I will set up a call with all to discuss how we can support these requests. Thanks, Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 From: Paolo De-Leon Sent: Thursday…
EFTA01357239.pdf PDF
…13/2014 Address: Count United States Tracking ID: Gcis 00000486407 I Reporting ID: Alert #: 1 Alert ID: 2592436.11563606.42755808 Entity …
EFTA01463914.pdf PDF
…09/03/2013 Batch Date: Person Name: Richard D Kahn Address: Tracking ID: 6710214 Alert #: 1 Entity Information Entity ID: 42755808 Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action ACT - Disciplinary, Regulatory Action 04/20/2012…
EFTA01421786.pdf PDF
…Kahn Address: Tracking ID: KYC 01946825 Alerted Entity #: 1 of 1 Entity Information Risk Priority: Critical Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action…
EFTA01400246.pdf PDF
Entity: Richard Kahn Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action • ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule…
EFTA01448854.pdf PDF
…Count:-: United States Tracking ID: 6710214 Reporting ID: 6710214 Alert #: 1 Alert ID: 1677299.11526362.42755808 Entity Information …
EFTA01409221.pdf PDF
…of Birth: Country:United States Tracking ID: GCIS 00000483290 Alerted Entity #: 1 of 4 Entity Information Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action…
EFTA01595087.pdf PDF
…C1C1) Disclosure Form A CICI is a unique number associated with a single legal entity, and will be used in upcoming regulatory reporting until a global Legal Entity Identifier (LEI) system is established. Examples of legal entities include general partnerships…
EFTA01357240.pdf PDF
rdc Entity: Richard Kahn Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: • REG - Regulatory Action AC…
EFTA01400245.pdf PDF
…ID: Gcis 00000486407 Alert #: 1 Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca…
EFTA01421784.pdf PDF
…Kahn Address: Tracking ID: KYC 01946825 Alerted Entity #: 1 of 1 Entity Information Risk Priority: Critical Entity ID: 64761053 Riskid: R110375868 Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): REG - Regulatory Action / ACT - Disciplinary, Regulatory Action…
EFTA01452247.pdf PDF
…Investor is a regulated entity, verification of identity beyond submission of evidence of its regulatory status may not be required. The above is subject to the jurisdiction of regulation and extra requirements may be requested. 2. Listed Companies and Subsidiaries…
EFTA01463915.pdf PDF
Entity: Richard Kahn Entity Information Entity ID: Entity Name: Richard Kahn Address: NY, UNITED STATES Event: REG - Regulatory Action • ACT - Disciplinary, Regulatory Action 04/20/2012, Decision Number: 12-ARCA-3 -- Respondents including Richard Kahn violated NYSE Arca Equities Rule…
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