EFTA01418819.pdf

Subject: RE: Remediation 2015-2016 ACO ueries.xlsx [I] From: Isabel-A Gonzalez Date: Wed, 01 Feb 2017 12:42:29 -0500 To: Christopher Whyton Cc: Stewart Oldfield lain Macar Nina Tona Alastair Vahe Stepanian Chris, can you please do that? I am snowed under. I look forward to hearing from you. Kind regards, Isabel. Isabel Gonzalez ICG Sales COO Team Deutsche Bank AG, Filiale London Winchester House, 1 Great Winchester Street Tel: I EC2N 2DB London From: Alastair Mackinlay Sent: 01 February 2017 16:45 To: Vahe Stepanian; Isabel-A Gonzalez Cc: Stewart Oldfield; lain Macara; Christopher Whyton; Nina Tona Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Classification: For internal use only EFTA01418819 I also don't have access to Aspen but believe the entity in aspen is actually PWM US Southern Financial LLC,US. Isabel - Are you able to check with the sales reporting team to get more details on Southern Financial Group INC,US. Who set this up, previous trades etc? Thanks Alastair Mackinlay Key Client Partners - Americas Deutsche Bank Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 From: Vahe Stepanian Sent: Wednesday, February 01, 2017 9:17 AM To: Isabel-A Gonzalez Cc: Stewart Oldfield; Alastair Mackinlay; lain Macara; Christopher Whyton; Nina Tona Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Classification: For internal use only Isabel — I'm not sure because I don't have access to Aspen given I sit in Wealth Management. Adding Alastair and Nina here who work with my team's COO — hopefully they can help. Thank you, EFTA01418820 Vahe From: Isabel-A Gonzalez Sent: Wednesday, February 01, 2017 9:13 AM To: Vahe Stepanian Cc: Stewart Oldfield; Alastair Mackinlay; lain Macara; Christopher Whyton Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Southern Financial LLC is the DB car name, but the only aspen name we have that looks similar is the below L4. Can you please advise? Is it the same entity? Can we off-board this? I look forward to hearing from you. Kind regards, Isabel. Isabel Gonzalez ICG Sales COO Team Deutsche Bank AG, Filiale London Winchester House, 1 Great Winchester Street Tel I EC2N 2DB London From: Vahe Stepanian Sent: 01 February 2017 14:00 To: Isabel-A Gonzalez Cc: Stewart Oldfield; Alastair Mackinlay; lain Macara; Christopher Whyton EFTA01418821 Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Classification: For internal use only I was referring to Southern Financial LLC From: Isabel-A Gonzalez Sent: Wednesday, February 01, 2017 8:48 AM To: Vahe Stepanian Cc: Stewart Oldfield; Alastair Mackinlay; lain Macara; Christopher Whyton Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Thanks Vahe. Can you please confirm the below Aspen L4 is what you are referring to? Ll Client Ll Client ID Ll Client RDS ID L4 Client L4 Client ID L4 Client RDS ID Southern Financial Group INC,US Southern Financial Group INC,US EFTA01418822 I look forward to hearing from you. Kind regards, Isabel. Isabel Gonzalez ICG Sales COO Team Deutsche Bank AG, Filiale London Winchester House, 1 Great Winchester Street Tel: I EC2N 2DB London From: Christopher Whyton Sent: 01 February 2017 13:45 To: Vahe Stepanian Cc: Isabel-A Gonzalez; Stewart Oldfield; Alastair Mackinlay; lain Macara Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Thanks Vahe, ok noted. lain — FYI. EFTA01418823 From: Vahe Stepanian Sent: 01 February 2017 13:42 To: Christopher Whyton Cc: Isabel-A Gonzalez; Stewart Oldfield; Alastair Mackinlay Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Classification: For internal use only Hi Chris — we are actually offboarding Southern Financial in GM. Let us know if you need anything else. Best, Vahe From: Christopher Whyton Sent: Wednesday, February 01, 2017 8:38 AM To: Vahe Stepanian Cc: Isabel-A Gonzalez Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Vahe Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO? Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients without an ACO should be moved to the red list for offboarding. Thanks EFTA01418824 Chris From: Isabel-A Gonzalez Sent: 01 February 2017 11:51 To: Christopher Whyton Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Chris, I have done a bit of digging on this. As per below table, two of this names were indeed included in the Phase I of the Trading Outreach. The other 2 may have happen offline via Iain. Please see below the details I have been able to extract: Trading Outreach Output CLIENTID LEGAL NAME GM Sales Sponsor for Outreach In trading outreach Phase i ACO suggested Sales suggested Person Making Suggestions EFTA01418825 William Beaumont Hospital [email protected] Proven Wealth Limited Adrienne Coyle yes Alex Giannou Adrienne Coyle Bruce Harkness, EM Southern Financial, LLC Vahe Stepanian Tradition SEF, Inc. Olivier Pariente - TCG Yes EFTA01418826  Olivier Pariente - TCG Matt Barnett (TCG) Matt Barnett (TCG) My suggestions are: #1 - reach out to Anthony. He is very responsive #2 — reach out to ACO, and Bruce. #3 — reach out to Vahe #4 — reach out to Matt. Thanks. Kind regards, Isabel. Isabel Gonzalez ICG Sales COO Team Deutsche Bank AG, Filiale London Winchester House, 1 Great Winchester Street Tel: I EC2N 2DB London EFTA01418827 From: Christopher Whyton Sent: 01 February 2017 09:37 To: Isabel-A Gonzalez Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Isabel The first 3 below were not part of the debt trading outreach. Do you recall how you were made aware that trading wishes to keep? The person in the bottom one doesn't exist in the directory so I'll need to ask around in the even they've left. LEGAL NAME GM Sales Sponsor for Outreach William Beaumont Hospital Proven Wealth Limited Adrienne Coyle Southern Financial, LLC Vahe Stepanian EFTA01418828  Tradition SEF, Inc. Olivier Pariente - TCG Thanks Chris From: Isabel-A Gonzalez Sent: 31 January 2017 17:49 To: Christopher Whyton Subject: Remediation 2015-2016_ ACO queries.xlsx Hi Chris, As requested please find attached the names and below the statuses to be investigated: Internal entities — These accounts require remediation AND an ACO to sign off the remediation. o Can we off-board these? o If not, please provide an the ACO or get confirmation from AFC/ COB these account don't require ACO attestation Data Issues — idem CIB Claimed — These have been deemed off-boards unless you can find an ACO or say otherwise Thanks. Kind regards, EFTA01418829 EFTA01418830