EFTA01408588.pdf

Subject: RE: KYC remediation [I] From: Andrea Sandven Date: Tue, 05 Mar 2019 14:15:26 -0500 To: Nina Tona Cc: Bill King Davide-A S errazza Yasmeen Alim Jamaal Bushar Ian Salters < Kareen Johnso Brian Serino Classification: For internal use only Good afternoon Nina, Jamaal and I researched the newest list of KYC remediations provided by Ian on Friday. I have attached a spreadsheet that shows our findings from dbCAR. There were 32 from ISG and 20 from IWP. There were only 5 out the 32 ISGs that we were able to locate in dbCAR with full KYC profiles and documentation. Please see the last review dates for these on the spreadsheet as only 1 of the 5 exceed a year. The remaining would be treated as NCAs and we would need a BSF and documentation in order to build the KYC profile in dbCAR. Most of the 20 IWPs were located in dbCAR, and we could begin remediating these as soon as today. Please see our comments regarding our findings in dbCAR, and please let us know which ones you would like us to start remediating now. Thank you and have a great day, {cid:[email protected]} Andrea Sandven Group Wide Client Data Services I COO DBUSA Core Corp Deutsche Bank Securities Inc. EFTA01408588 5201 Gate Parkway, Jacksonville, FL 32256 USA Mail Stop: JCK-01-965 From: Ian Salters Sent: Friday, March 01, 2019 4:58 PM To: Kareen Johnson ; Brian Serino Davide-A Sferrazza ; Nina Tona Yasmeen Alim Jamaal Bushara Andrea Sandven Ian Salters <I IM=1 Subject: RE: KYC remediation [I] Classification: For internal use only Dear All, After conducting a further review the KYC situation is a lot worse. The revised KYC remediation list is as follows: fcid:[email protected] fcid:[email protected] Thanks for all your help in advance. Nina — can you please add to tracker. EFTA01408589 Ian From: Kareen Johnson Sent: Tuesday, February 26, 2019 11:53 AM To: Ian Salters Brian Serino Cc: Bill King avide-A Sferrazza Yasmeen Alim ; Andrea Sandven Subject: Classification: For internal use only Hi Ian, We will add them to the current pipeline, and assign the cases accordingly. Thank you ! Kareen Johnson From: Ian Salters Sent: Monday, Februar 25, 2019 4:00 PM To: Brian Serino ; Kareen Johnson In Davide-A Sferrazza < Nina Tona Ian Salters Subject: KYC remediation [I] Classification: For internal use only Brian/Kareen - As previously discussed, the priority list is less than I thought, please see attached clients that need to be onboarded with CIB as a EFTA01408590 priority: Bill - can you please take the lead on the ISG clients (this ties into the 32 clients you previously advised of): Nina / Davide — can you please work together on the IWP clients (understand that Southern Financial is going away): A) Wealth Management fcid:[email protected] B) IWP fcid:[email protected] Kind regards, Ian Salters fhttps://brandportal.intranet.db.com/img/modules/logogrey.gifl Ian Salters COO Americas - Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Visit us: http://deutschewealth.com EFTA01408591 {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01408592