Subject: RE: October 2014 AML/KYC Escalation Reports [I]
From: Andrea Tapia a
Date: Thu, 06 Nov 2014 17:28:40 -0500
To: Melisa Venegas
Cc: Kimberly Har
Armen Brash
Classification: For internal use only
Hi Melissa,
In the attached file, please find the list of ACUs that should be taken off
the list. Most of these customer's accounts have been closed, two are
Brokerage only, two should be transferred to IA, and one has an existing
KYC. We are working with the respective Banker teams to resolve the
remaining ACU's not included. Please see the corresponding notes in column N
and let me know if you have any questions.
Kind regards,
Andrea Tapia
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Andrea Tapia
Assistant Vice President
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 24th Floor
New York, NY 10154-0004
Tel. +1(212)454-7354
Mobile +1
Email
Securities offered through Deutsche Bank Securities Inc.
Icid:image002.gif@OlCE271E.016102401
EFTA01399065
From: Kimberly Hart
Sent: Wednesday, November 05, 2014 11:35 AM
To: Andrea Tapia
Subject: Fw: October 2014 AML/KYC Escalation Reports [I]
Classification: For internal use only
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Kimberly Hart
Managing Director
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, New York, NY 10154
Tel. +1 (212) 454-2877
Fax +1 (646) 863-9809
Mobile +1
Email
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Securities offered through Deutsche Bank Securities Inc.
Forwarded by Kimberly Hart/db/dbcom on 11/05/2014 11:35 AM
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From:
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Melisa Venegas/db/dbcom
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To:
EFTA01399066
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Andrew Gallivan/db/ Kimberly Hart/db/
Michael-J Davis/db/ Michael S Jacoby/
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Cc:
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Armen Brash/db
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Date:
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11/03/2014 05:30 PM
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Subject:
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October 2014 AML/KYC Escalation Reports [I]
Classification: For internal use only
All,
Included below is the monthly AML/KYC escalation report for overdue items
(the file has several sheets). Please review and address accordingly. Thank
you.
(See attached file: COVERAGE_Domestic.xlsx)(See attached file: Account
Opening - COVERAGE-Domestic.xlsx)
Regards,
EFTA01399067
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Melisa Venegas
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
60 Wall Street, 10005-2836 New York, NY, USA
Tel. +1 (212) 250-1493
Fax +1 212 553-2397
Email
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EFTA01399068