Subject: RE: ACTION REQUIRED: Issue related to ACUs [I]
From: Mildred Hernandez
Date: Mon, 07 Mar 2016 11:02:56 -0500
To: Armen Brash a>,
Amanda Kirby a,
Melisa Venegas ,
Melinda Roy
Cc: Paul Morris a
Classification: For internal use only
I SENT IT TO jj
From: Armen Brash
Sent: Monday, March 07, 2016 11:03 AM
To: Amanda Kirby; Melisa Venegas; Mildred Hernandez; Melinda Roy
Cc: Paul Morris
Subject: RE: ACTION REQUIRED: Issue related to ACUs [I]
Classification: For internal use only
Sorry Amanda and Melinda—this should go t JJ.
JJ- see below
Melisa: can you update your list, JJ supports Paul
Best,
Armen
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Armen Brash
EFTA01409850
Director
Deutsche Bank Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel. +1 212 250-0755 Fax +1 646 588-1858
Mobile +1
Email
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From: Amanda Kirby
Sent: Monday, March 07, 2016 10:51 AM
To: Melisa Venegas; Mildred Hernandez; Melinda Roy
Cc: Paul Morris; Armen Brash
Subject: RE: ACTION REQUIRED: Issue related to ACUs [I]
Classification: For internal use only
Melinda - FYI
Best,
Amanda Kirby
{https://brandportal.intranet.db.com/img/modules/-
DAWM_logo_metallic 46x46.gif}
Amanda Kirby
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel. +1 212 454-6439
Fax +1 646 736-0695
Email
EFTA01409851
{https://brandportal.intranet.db.com/img/modules/claim_en_rgb.gif}
Securities offered through Deutsche Bank Securities Inc.
From: Melisa Venegas
Sent: Monday, March 07, 2016 10:49 AM
To: Amanda Kirby; Mildred Hernandez
Cc: Paul Morris; Armen Brash
Subject: ACTION REQUIRED: Issue related to ACUs [I]
Classification: For internal use only
All,
As you may know, per the AML Procedures manual, certain clients are excluded
from ACUs. An issue has been identified in dbforce where High Risk clients
are given an ACU Auto Exemption for Retail Banking, however, per Policy,
this exception does NOT apply to High Risk clients.
Unfortunately, the code in dbforce is exempting high risk clients with only
deposit accounts under $250K from the ACU when it should not be—the code
will be fixed, but in the meanwhile, while the ACUs listed below don't
appear as overdue, they must be completed.
GCIS Customer #
Customer Name
Relationship
PO
487216
JEGE, LLC
EFTA01409852
SOUTHERN FINANCIAL RELATIONSHIP
Paul Morris
499733
LSJE, LLC
SOUTHERN FINANCIAL RELATIONSHIP
Paul Morris
Please let me know if you have any questions and please let me know when
this has been completed. Thank you.
Regards,
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Melisa Venegas
Deutsche Bank Wealth Management
60 Wall Street, 10005-2836 New York, NY, USA
Tel.: +1 212 250-1493
Email
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EFTA01409853