From: Andrew Gallivan
Sent: 6/9/2017 3:41:43 PM
To: Samantha Harmon
Subject: FW: KYC list [I)
Attachments: A_Nicoletti.xlsx; B_Convey.xlsx; C_Walker.xlsx; D_Robertson.xlsx; E_Payne.xlsx; H_Kirby.xlsx; liensen.xlsx;
J_Marson.xlsx; J_Sabbagh.xlsx; L_Rivera.xlsx; M_Coleman.xlsx; M_Gonzalez.xlsx; M_Kimble.xlsx; M_Mullin.xlsx;
R_Vrablic.xlsx; S_Moore.xlsx; S_Oldfield.xlsx; T_MacGuire.xlsx; T_Sohrab.xlsx; T_Tangney.xlsx
Classification: For Internal use only
From: Daphne Cales
Sent: Friday, June 09, 2017 2:04 PM
To: Andrew Gallivan
Subject: RE: KYC List [I]
Classification: For Internal use only
This was what the email sold:
Good morning.
Per the new global KYC policy a remediation project has been initiated to update KYCs for all clients
identified as "High and Moderate" risk, and will eventually include "Low" risk as well.
Attached you will find a list of your clients that are either due or coming due this year. My team will be
assisting with the initial task of confirming that we have the basic information, including IDs, SSN,
TINs and launching research requests on the last known parties.
Once that is complete we will forward directly to the RCs/ROs for their review. They will need to
reach out to the client for any missing information and confirmation that there has not been any
material changes. It is imperative that this is done as quickly as possible. If there are any on the list
that you have already done or would like to complete yourself due to any sensitive information please
let me know.
Feel free to contact me with any questions or concerns.
Kind regards.
Daphne Cales
Daphne Cales
Director I Banking Services & Branch Manager
Deutsche Bank Trust Company Americas
WM Americas
345 154-0004 New York, NY, USA
Tel.
Fax
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