EFTA01405956.pdf

Subject: RE: Account Re-opening [I] From: Jj Litchford Date: Fri, 02 Oct 2015 13:10:35 -0400 To: Armen Brash Vaishali-P Mehta PWMUS AMLKYC Mir Paul Morris < Classification: For internal use only I wanted to keep everyone in the loop on the status of Mort Inc. (KYC We have a PCR that needs time to clear so likely we can't get this done today. We let the client know and will make a big push to get it done Monday. The client has expedited a request for a new CoGS so we should have that next week. Thanks for your help so far, I and Paul Morris are extremely appreciative to have such a responsive team working with us on this. You guys rock. Thanks, JJ {cid:[email protected]} JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, New York 10154 Tel. + Mobile. Email {cid:[email protected]} From: Armen Brash Sent: Thursday, October 01, 2015 7:15 PM To: Jj Litchford; Vaishali-P Mehta EFTA01405956 Subject: RE: Account Re-opening [I] Classification: For internal use only I think given that the account was closed due to our "error" and not client instructions, a 1 week temporary exception might be appropriate. It's really up to them. Email Janice Franklin and Yoonsun Chung directly—cc me and vaishali. Best, Armen fcid:[email protected] Armen Brash Deutsche Asset & Wealth Management Head of Anti-Money Laundering Business Risk 60 Wall Street, 10005-2836 New York, NY, USA Tel. + Fax +1 Mobile Email fcid:[email protected] From: Jj Litchford Sent: Thursday, October 01, 2015 7:08 PM To: Armen Brash; Vaishali-P Mehta Subject: RE: Account Re-opening [I] Classification: For internal use only EFTA01405957 So just email PWMUS AMLKYC and ask them? If we need a new one, there is slim to no chance this can happen tomorrow. Would they be who I requested an exception from also or is this going to be a hard no you think? Thanks, I appreciate your responsiveness. {cid:[email protected]} JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, New York 10154 Tel. + Mobile Email {cid:[email protected]} From: Armen Brash Sent: Thursday, October 01, 2015 7:06 PM To: Jj Litchford; Vaishali-P Mehta Subject: RE: Account Re-opening [I] Classification: For internal use only Yeah, I searched that but I think that's for licensed entities and this I assume is a personal holding company which likely doesn't need a license. EFTA01405958 Best, Armen {cid:[email protected]} Armen Brash Deutsche Asset & Wealth Management Head of Anti-Money Laundering Business Risk 60 Wall Street, 10005-2836 New York, NY, USA Tel. Fax + Mobil Email fcid:[email protected] From: Jj Litchford Sent: Thursday, October 01, 2015 7:04 PM To: Armen Brash; Vaishali-P Mehta Subject: RE: Account Re-opening [I] Classification: For internal use only Yeah I found https://secure.dlca.vi.gov/license/Asps/Search/- License search.aspx but it doesn't come up with anything. {cid:[email protected]} JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York New York 10154 Tel. EFTA01405959 Mobile Email {cid:[email protected]} From: Armen Brash Sent: Thursday, October 01, 2015 7:03 PM To: Jj Litchford; Vaishali-P Mehta Subject: RE: Account Re-opening [I] Classification: For internal use only Hello You'll need to ask AML Compliance; Generally, a printout from the Company's Regitrar or Secretary of State is acceptable. I'm not how to get that for USVI http://ltg.gov.vi/corporations-and-trademarks.html didn't have an option to search For this KYC, you would need a certificate of good standing dated within 1 year. Best, Armen {cid:[email protected]} Armen Brash Deutsche Asset & Wealth Management Head of Anti-Money Laundering Business Risk 60 Wall Street, 10005-2836 New York, NY, USA Tel. EFTA01405960 Fax Mobi Emai {cid:[email protected]} From: Jj Litchford Sent: Thursday, October 01, 2015 6:53 PM To: Armen Brash; Vaishali-P Mehta Subject: RE: Account Re-opening [I] Classification: For internal use only I believe I have everything set up I am waiting on the research and will forward immediately if we get an RDC or PCR. I do not have a certificate of good standing within the last year—the company is incorporated in US Virgin Islands. Do you know if we have a website screenshot that will suffice? Thanks, 33 {cid:[email protected]} JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor fcid:[email protected] EFTA01405961 From: Armen Brash Sent: Thursday, October 01, 2015 5:44 PM To: Jj Litchford; Vaishali-P Mehta Cc: PWMUS AMLKYC Subject: RE: Account Re-opening [I] Classification: For internal use only No Problem at all. Please keep AML Compliance posted. Best, Armen fcid:[email protected] Armen Brash Deutsche Asset & Wealth Management Head of Anti-Money Laundering Business Risk New York, NY, USA fcid:[email protected] From: Jj Litchford Sent: Thursday, October 01, 2015 5:42 PM To: Armen Brash; Vaishali-P Mehta Cc: PWMUS AMLKYC Subject: RE: Account Re-opening [I] EFTA01405962 Classification: For internal use only The account was closed due to zero balance (it was funded on 2/6/2015 and then de-funded on 2/23/2015). I have submitted for the research since the last KYC (2/1/2014) and put it in with high priority. I will let you know as soon as we get results (We expect some negative media possibly). thanks for the help, appreciate the quick reply. {cid:[email protected]} JJ Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York. New York 10154 fcid:[email protected] From: Armen Brash Sent: Thursday, October 01, 2015 5:39 PM To: Jj Litchford; Vaishali-P Mehta Cc: PWMUS AMLKYC Subject: RE: Account Re-opening [I] Classification: For internal use only EFTA01405963 33 You'll need to order updated research and complete a KYC update. Essentially, you have to treat it the way you'd treat a brand new client. Why did the account close? Was it ever funded? Was it closed due to zero balance? Please note that this is a high risk client and the KYC will need to be reviewed by AML Compliance; I've cc'd them so they are aware of the rush. Best, Armen fcid:[email protected] Armen Brash Deutsche Asset & Wealth Management Head of Anti-Money Laundering Business Risk New York, NY, USA Icid:[email protected] From: Jj Litchford Sent: Thursday, October 01, 2015 5:30 PM To: Vaishali-P Mehta; Armen Brash Subject: FW: Account Re-opening [I] EFTA01405964 Classification: For internal use only Hello my favorites-- Can you let me know what I need to do to re KYC this entity for which an account was auto-closed (information below)? This is going to be a high rush situation, the client is absolutely furious. Thanks, 33 {cid:[email protected]} 33 Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, New York 10154 {cid:[email protected]} From: Navin-Kumar Pankaj Sent: Thursday, October 01, 2015 5:22 PM To: Jj Litchford Cc: Gwen Hill; ; Prashant Mahendru Subject: RE: Account Re-opening [I] Hi 3j, EFTA01405965 Since customer "Mort, Inc." is a prospect hence, we require KYC# within one year to approve this re-open request. KYC is more than one year old. Kind regards, Navin Kumar Pankaj Please send all the PWM AOG- COB mail related Queires to our new Group E- mail ID [email protected] fcid:[email protected] Navin Kumar Pankaj Analyst PWM US Operations DBOI Global Services Private Limited Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. + EFTA01405966 Mobile Email From: Jj Litchford Sent: Frida October 02, 2015 2:18 AM To: Subject: Account Re-opening [I] Classification: For internal use only Hi-- Please re-open account (Mort, Inc.). The client is looking to transfer money into the account (per the attached instruction). It was closed on 5/26/2015 and still appears on FIS Metavante. The client did not send a letter to close, and the account was recently opened on 2/6/2015. The KYC is still valid. Thanks, 33 fcid:[email protected] 33 Litchford Associate Banker Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor Icid:[email protected] EFTA01405967 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. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01405968