EFTA01375521.pdf

Anna-Sofiya 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 Sent: Monday, June 04, 2018 4:06 PM To: '[email protected]' ; Michael Lantz < Ro Kasakove ; Michel Plut >; Catherine M Oconnor < >; Dan Peterson < ;James Donofrio >; Edward Golden >; Nora Heaton < Brandi Goldenber: < >; Janice M Smith Janet A McGrath < Donna G Mitchell >; Sequana Beale Carolyn Ma liar° ic > Cc: Olivier Poncet < >; Andrew Gallivan • David Wolkenbrod Scott Guest < Godard ;Janet Morales < >; Sheffali Welch Charles Hoffarth Subject: FinCEN COD 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). 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. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071025 CONFIDENTIAL SDNY_GM_00217209 EFTA01375521