Subject: RE: Remediation 2015-2016 ACO ueries.xlsx [I]
From: Isabel-A Gonzalez
Date: Wed, 01 Feb 2017 09:13:29 -0500
To: Vahe Stepanian
Cc: Stewart Oldfield
Alastair Mackinla
lain Macara
Christopher Whyton
Southern Financial LLC is the DB car name, but the only aspen name we have
that looks similar is the below L4. Can you please advise? Is it the same
entity? Can we off-board this?
I look forward to hearing from you.
Kind regards,
Isabel.
Isabel Gonzalez
ICG Sales COO Team
Deutsche Bank AG, Filiale London
Winchester House, 1 Great Winchester Street
Tel: I EC2N 2DB London
From: Vahe Stepanian
Sent: 01 February 2017 14:00
To: Isabel-A Gonzalez
Cc: Stewart Oldfield; Alastair Mackinlay; lain Macara; Christopher Whyton
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I]
EFTA01418651
Classification: For internal use only
I was referring to Southern Financial LLC
From: Isabel-A Gonzalez
Sent: Wednesday, February 01, 2017 8:48 AM
To: Vahe Stepanian
Cc: Stewart Oldfield; Alastair Mackinlay; lain Macara; Christopher Whyton
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I]
Thanks Vahe. Can you please confirm the below Aspen L4 is what you are
referring to?
Ll Client
Ll Client ID
Ll Client RDS ID
L4 Client
L4 Client ID
L4 Client RDS ID
Southern Financial Group INC,US
Southern Financial Group INC,US
EFTA01418652
I look forward to hearing from you.
Kind regards,
Isabel.
Isabel Gonzalez
ICG Sales COO Team
Deutsche Bank AG, Filiale London
Winchester House, 1 Great Winchester Street
Tel: I EC2N 2DB London
From: Christopher Whyton
Sent: 01 February 2017 13:45
To: Vahe Stepanian
Cc: Isabel-A Gonzalez; Stewart Oldfield; Alastair Mackinlay; lain Macara
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I]
Thanks Vahe, ok noted.
lain — FYI.
From: Vahe Stepanian
Sent: 01 February 2017 13:42
To: Christopher Whyton
Cc: Isabel-A Gonzalez; Stewart Oldfield; Alastair Mackinlay
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I]
EFTA01418653
Classification: For internal use only
Hi Chris — we are actually offboarding Southern Financial in GM. Let us know
if you need anything else.
Best,
Vahe
From: Christopher Whyton
Sent: Wednesday, February 01, 2017 8:38 AM
To: Vahe Stepanian
Cc: Isabel-A Gonzalez
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx
Hi Vahe
Hope you're well. I'm working on the ACO workstream in GM and have been
made aware of the below client (in yellow) that is due for KYC remediation
but doesn't have an ACO assigned. Are you able to propose an ACO?
Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly
urgently as the stance taken is that any clients without an ACO should be
moved to the red list for offboarding.
Thanks
Chris
EFTA01418654
From: Isabel-A Gonzalez
Sent: 01 February 2017 11:51
To: Christopher Whyton
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx
Hi Chris,
I have done a bit of digging on this. As per below table, two of this names
were indeed included in the Phase I of the Trading Outreach. The other 2 may
have happen offline via Iain. Please see below the details I have been able
to extract:
Trading Outreach Output
CLIENTID
LEGAL NAME
GM Sales Sponsor for Outreach
In trading outreach Phase i
ACO suggested
Sales suggested
Person Making Suggestions
William Beaumont Hospital
anthony.campo@db.com
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Proven Wealth Limited
Adrienne Coyle
yes
Alex Giannou
Adrienne Coyle
Bruce Harkness, EM
Southern Financial, LLC
Vahe Stepanian
Tradition SEF, Inc.
Olivier Pariente - TCG
Yes
Olivier Pariente - TCG
Matt Barnett (TCG)
EFTA01418656
Matt Barnett (TCG)
My suggestions are:
#1 - reach out to Anthony. He is very responsive
#2 — reach out to ACO, and Bruce.
#3 — reach out to Vahe
#4 — reach out to Matt.
Thanks.
Kind regards,
Isabel.
Isabel Gonzalez
ICG Sales COO Team
Deutsche Bank AG, Filiale London
Winchester House, 1 Great Winchester Street
Tel I EC2N 2DB London
From: Christopher Whyton
Sent: 01 February 2017 09:37
To: Isabel-A Gonzalez
Subject: RE: Remediation 2015-2016_ ACO queries.xlsx
EFTA01418657
Hi Isabel
The first 3 below were not part of the debt trading outreach. Do you recall
how you were made aware that trading wishes to keep?
The person in the bottom one doesn't exist in the directory so I'll need to
ask around in the even they've left.
LEGAL NAME
GM Sales Sponsor for Outreach
William Beaumont Hospital
Proven Wealth Limited
Adrienne Coyle
Southern Financial, LLC
Vahe Stepanian
Tradition SEF, Inc.
Olivier Pariente - TCG
EFTA01418658
Thanks
Chris
From: Isabel-A Gonzalez
Sent: 31 January 2017 17:49
To: Christopher Whyton
Subject: Remediation 2015-2016_ ACO queries.xlsx
Hi Chris,
As requested please find attached the names and below the statuses to be
investigated:
Internal entities — These accounts require remediation AND an ACO
to sign off the remediation.
o Can we off-board these?
o If not, please provide an the ACO or get confirmation from AFC/ COB
these account don't require ACO attestation
Data Issues — idem
CIB Claimed — These have been deemed off-boards unless you can
find an ACO or say otherwise
Thanks.
Kind regards,
EFTA01418659