EFTA01356880.pdf

• Review any CRRE result L/M where client ended up H risk rating (would be due to a Special Risk Factor, like Negative Media) Our biggest risk/unknowns will be remediation cases where all parties are not currently known/captured and not query- able/part of current reverse checks. Kind Regards, Emily Emily Craig Director Deutsche Bank Wealth Management Deutsche Bank Securities, Inc 1 South Street, Baltimore, MD 21202-3298 Tel: Mobile: WM Mercury on myDB Original Message From: Thomas Klemm Sent: Friday, July 12, 2019 9:54 PM To: Emily Craig < Cc: Kimberly Hart < Subject: Cases with negative media risk Hi Emily, We need to come up by Tuesday with an approach to doublecheck our client files on a risk based approach as good as possible for any potential criminal background that would most likely result in termination of the relationship. Ask is to ensure that we don't have any ,epstein' type of client on our books. What do you think would be the best way to do this? I'm not aware that we have specific negative media flags in the system but I thought we had free text fields? Everything related to bribery, sex trafficking, etc. would need to be manually reviewed with utmost scrutiny on top of any potential RR activity. We also might want to start with the HR population. Any thoughts how to practically approach that? Thanks a lot and have a good weekend! T CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043067 CONFIDENTIAL SDNY_GM_00189251 EFTA01356880