EFTA01413924.pdf

Subject: FW: FinCEN CDD Rule; Customer Mailin From: Stewart Oldfield Date: Mon, 11 Jun 2018 11:10:13 -0400 To: Bradley Gillin Cc: Rodney Macelus Let's remove Jockey Club, Southern and Third Lake. We're already taking care of the first two. Please reach out to Tebbi for Third Lake From: Anna-Sofiya Lupolover Sent: Monday, June 1.11.1.. To: Bradle Gillin Stewart Oldfield >; Terri Sohrab <MI=MMI Rodney Macelus Subject: RE: FinCEN CDD Rule; Customer Mailing Hi Team, If there are any updates to your list, please provide them by EOD. If I do not hear from you, all letters will be addressed to "Dear Client" and the contact person will be the customer owner for each. Thanks! Kind Regards, Anna-Sofiya {cid:3 [email protected]} Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue New York, NY 10154 Tel. EFTA01413924 Fax +1 Email Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Monday, June 04, 2018 6:21 PM To: Bradley Gillin <[email protected]>; Stewart Oldfield • Terri Sohrab Hildegarde Berrios < Subject: FW: FinCEN CDD Rule; Customer Mailing Hi Team, Please find your in-scope client list below. Addresses were pulled from various locations, primarily from FIS (if the client has a banking account), then from Net X (if the client has a brokerage account), and then from DB Force (if the client has neither). First, please VALIDATE the address populated. Then, if you would like to, please provide a personalized salutation in column L — if you do not provide one, the letter will be addressed "Dear Client." Lastly, if you would like someone other than the RM to be listed as the contact on the letter, please delegate a contact name and phone # in column M and N. If you have already requested the FinCEN form from any clients in the list, please let me know, and I will remove them from this mailing. Thank you! Kind Regards, Anna-Sofiya EFTA01413925 {cid:3 [email protected]} Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Armen Brash [mailto:[email protected]] Sent: Monday, June 04, 2018 4:06 PM To: Michael Lantz ; Roy Kasakove Michel Plut Catherine M Oconnor - ; Dan e erson • James Donofrio Edward Go Nora Heaton : .11 0 0 - II - 0 • Grath Donna G itc e ea e Carolyn Magliaro a - David Wo kenbrod ; Scott Guest Felipe Godard anet Morales • Sheffali Welch Charles o art Subject: FinCEN CDD Rule; Customer Mailing Hello Everyone, As you all know by now, the FinCEN CDD Rule went live last month. We are required to obtain the CDD Form for all new account openings, as well as for KYC updates (including both Periodic Reviews and Event Driven Reviews). EFTA01413926 We will be doing a central mailing to all of your customers with a KYC Periodic Review due in 2018. The mailing will include the attached cover letter , a copy of the CDD Form and an addressed postage paid envelope. You will receive the list of your clients who will receive this mailing shortly. In order to move forward with this mailing, we will need a couple of things from you: 1. You have the opportunity to provide a salutation for the letter. This is not required—if you don't wish to provide one, the letter will sent to "Client" 2. You also have the opportunity to designate a contact person from your team that we will include in the letter. If you do not designate someone, we will include the name of the Relationship Manager from dbforce and his/her phone number. 3. We have taken the statement address from FIS for all customers with deposit accounts; where there is no deposit account, we are using the legal or mailing address from dbforce. If you know this won't be correct for your client please let Anna know. Anna is maintaining the master mail merge spreadsheet— in the next few days, she or I will reach out to you and your teams to complete the mail merge file. We are hoping to send the letter out by June 15th, which means we need to have this finalized by the end of this week. If you have any questions or concerns with this, please let me know. Best, Armen EFTA01413927 fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Armen Brash Director Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY. 10154 Tel: Mobile: deutschewealth.com Securities offered through Deutsche Bank Securities Inc. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01413928 EFTA01413929