EFTA01356713.pdf

345 Park Avenue 10154.0004 New York. NY, USA Tel Email From: Diana Canter Sent: Tuesday, September 25, 2018 3:00 PM To: Funda Bozkurt < >; zia Memon < Subject: RE: Butterfly brokerage [I] One of the problems is that the document is not bar coded and we are not able to track it as missing but we should have it hand before we approve the account to be opened. What brokerage accounts don't you see documents for??? Kind regards, Diana Canter Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc Deutsche Bank Wealth Management 1 South 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Funda Bozkurt Sent: Tuesday, September 25, 2018 2:47 PM To: zia Memon <_> Cc: Diana Canter < Subject: RE: Butterfly brokerage [I] Classification: For Infernal use only Ziggy should reject the account opening when that happens. How does he approve??? And to be honest, I am reviewing the KCP brokerage accounts and almost none of them has documentation. It is still unclear to me how these accounts are opened at the time. It is a requirement for the KCP employee to collect the KCP documentation if KCP is managing the account. Thanks, Funda Bozkurt Deutsche Bank Trust Company Americas. WM-Divisional Control Office CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042713 CONFIDENTIAL SDNY_GM_00188897 EFTA01356713