Subject: Oct 2016 AML/KYC Escalation Reports [I]
From: Melisa Venegas
Date: Thu, 03 Nov 2016 12:22:00 -0400
To: Armen Brash
Andrew Gallivan
Michael S Jacob
Lee Flutter
Mark LaRoe <
Cc: Vaishali-P Mehta
Classification: For internal use only
All,
Included below is the monthly AML/KYC escalation report for overdue and
coming due items. Please review and address accordingly Thank you.
ACUs w/Mat Changes*
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File:
US_Onshore.xlsx »
High 1 8 9
Moderate 3 1 1 8 13
Low 448
* some are pending AML Compliance's review
Overdue Temporary Exceptions
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total
High 2 3 5
Moderate 2 1 3
Low 3 1 4
Overdue High Risk in Person Meetings 7
City Coming due 0-30 31-60 61-90 +90
Los Angeles 1
High 1
Miami 3
Mod 1
Low 2
New York 4 2 1 1 15
High 1 1 6
Mod 1 2 1 6
Low 2 3
San Francisco 1 1 2 4
EFTA01398705
High 1
Mod 1 1 2
Low 2 1
Grand Total 5 3 1 6 20
Melisa Venegas
Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA
Tel.: +1 (212) 250-1493 I Email
EFTA01398706