From: Kimberly Han
Sent: Monday, Octotia- IS 2018 0:
To: Oliva Esslinger •
Cc: via Manna -; Jonathan Groom Emily Craig Melisa Vents's%
&abject: Re: FIM Relationships and FIMs - KYC Tracker Ill
I was not aware that you were looking for lealbock. There are customer owners assigned to the FlMs in DBForce. They would be responsible for the
KYCs. If thew are active FIMs, KYCs need to be completed as soon as passible. Additionally, the high risk FIM needs a KYC update as well.
rmally. I am still not confident that the list is complete. Are we moving forward with reaching out to the Bankers to get confirmations?
Kimbaly I Ian
Managing 'iloam Divisional Control Officer
Wealth Management Americas
Deutsche Dank Trost Company Americas
345 Park Avenue. New York. NY 10154
Tel.
Fax
Securities offered through Deutsche Bank Securities Inc
On Oct 15, 2018, at 9:18 AM. Oliver Esslinga -• wrote:
Classification: For internal use only
fi Kinalicnathan:
Does eitha one of you have a chance to opine on this, if possible semaime today?
Tim!: van
(Nna
<imagc0O I
Orval Esslingen
Director t COO
Head of Business Integrity Americas
Deutsche Bank Wealth Management
Crates:Ise BanK dust COMrtrly AnietlIme
PeAal adrIrell. 34C P;Mk Aver*. 14th ?ON. NirteNek NY 10154 t.'CA
Flom: Melina Vategas
Sent: Friday. October 12.2018 9:48 AM
To: Jonathan Groom
Cc Ca Mann • Derek St-Hibire EmilyCraig P-*.Oliver
Edinger ≥; Kimberly Han
Subject: RE: FIM Relationships and FIMs - KYC Tracker Ill
Classification: For internal use only
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042433
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