From: Ariane Dwyer
Sent: 1/28/2016 8:08:02 AM
To: Daniel Sabba ; Vahe Stepanian
Subject: FW: Gratitude KYC IIJ
Per Fran's email below we now have two options:
1. Sent does to be reviewed by AML Compliance. I'm not sure why it is a "high risk", but it could be because of JE?
2. Complete reputational risk document with Paul given that JE founded the foundation per the Articles of
Incorporation and my call with Rich
Let me know what you think.
Best,
Ari
From: Fran M Wickman
Sent: Wednesday, January 27, 2016 3:04 PM
To: Ariane Dwyer; MO CIP
Subject: RE: Gratitude KYC [I]
Classification: For Internal use only
Ari,
This is a high risk account (see page 10) and therefore, will be reviewed by AML Compliance. Please contact them with
any further questions.
Kind regards,
Fran Wickman
Ii
Fran Wickman
Middle Office Operations
Deutsche Bank Securities Inc
utsche nk Wealth Mane e m nt
Puticiawitgasfoopt,
From: Ariane Dwyer
Sent: Wednesday, January 27, 2016 3:00 PM
To: MO CIP
Subject: Gratitude KYC
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055534
CONFIDENTIAL SDNY_GM_00201718
EFTA01364969