EFTA01356519.pdf

From: Emily Craig Sent: 12/4/2018 8:33:28 AM To: Kimberly Hart ; Thomas Klemm CC: Maria Pedulla ; Anna Issel ; Leonhard Mueller Subject: RE: CONFIDENTIAL: Organisational alignment of Case Managers and ABR [CI Attachments: 20181030_CM_Scoring_y6.xlsm Classification: Confidential Kim, Past due KYC's are the responsibility of the ACO. Once structure/organization is agreed, we will work on defining and publishing our metrics. Currently, we review complexity of cases against rejections and quality of cases, see sample for Case Management attached. Kind Regards, Emily Emily Craig Director Deutsche Bank Wealth Management iavrAte Batik tis ii 'c hx I ',oath Sew:Prat:in,: \in Tel: Molnlc From: Kimberly Hart Sent: Monday, December 03, 2018 10:11 PM To: Thomas Klemm < Cc: Maria Pedulla < >; Andrea DeMar < >; Anna Issel >; Leonhard Mueller < >; Emily Craig < Subject: Re: CONFIDENTIAL: Organisational alignment of Case Managers and ABR Are there KPIs that you can share? My only concern would be if managers are measured on past due KYCs which might incentive them to approve deficient KYCs. It would be prudent to identify controls to prevent this from happening. Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042412 CONFIDENTIAL SDNY_GM_00188596 EFTA01356519