EFTA01399065.pdf

Subject: RE: October 2014 AML/KYC Escalation Reports [I] From: Andrea Tapia a Date: Thu, 06 Nov 2014 17:28:40 -0500 To: Melisa Venegas Cc: Kimberly Har Armen Brash Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customer's accounts have been closed, two are Brokerage only, two should be transferred to IA, and one has an existing KYC. We are working with the respective Banker teams to resolve the remaining ACU's not included. Please see the corresponding notes in column N and let me know if you have any questions. Kind regards, Andrea Tapia fcid:[email protected] Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154-0004 Tel. +1(212)454-7354 Mobile +1 Email Securities offered through Deutsche Bank Securities Inc. Icid:[email protected] EFTA01399065 From: Kimberly Hart Sent: Wednesday, November 05, 2014 11:35 AM To: Andrea Tapia Subject: Fw: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only fcid:[email protected] Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, New York, NY 10154 Tel. +1 (212) 454-2877 Fax +1 (646) 863-9809 Mobile +1 Email {cid:[email protected]} Securities offered through Deutsche Bank Securities Inc. Forwarded by Kimberly Hart/db/dbcom on 11/05/2014 11:35 AM {cid:[email protected]} From: {cid:[email protected]} Melisa Venegas/db/dbcom {cid:[email protected]} To: EFTA01399066  {cid:[email protected]} Andrew Gallivan/db/ Kimberly Hart/db/ Michael-J Davis/db/ Michael S Jacoby/ {cid:[email protected]} Cc: {cid:image004.pn @O1CFF9E7.19F8EFA0} Armen Brash/db {cid:[email protected]} Date: {cid:[email protected]} 11/03/2014 05:30 PM {cid:[email protected]} Subject: {cid:[email protected]} October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue items (the file has several sheets). Please review and address accordingly. Thank you. (See attached file: COVERAGE_Domestic.xlsx)(See attached file: Account Opening - COVERAGE-Domestic.xlsx) Regards, EFTA01399067 {cid:[email protected]} Melisa Venegas Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel. +1 (212) 250-1493 Fax +1 212 553-2397 Email fcid:[email protected] EFTA01399068