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RE: KYC HR Clients Remediation - Status [I]
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R
Rodrigo Quintero May 26, 2017 2:20 PM
To
Patrick Harris
Cc
Emily CraigDaphne Cales
All,
Below is the Monday morning deliverable (as of 5/26/17). Let me know if you have any question.
| KYC Update Steps | Create KYC Checklist | Review Info and Docs | Create KYC Update in System | Attach Checklist & Docs to KYC case | Request Due Diligence profile | Submit to Front Office | Attest to Completeness | Obtain MD Approval | Obtain ABR Approval*** | Obtain AFC Approval |
|---|---|---|---|---|---|---|---|---|---|---|
| Owner | DT | DT | DT | DT | DT | DT | FO | FO | FO | FO |
| Total In Scope (Clients)* | 485 | 485 | 485 | 485 | 485 | 485 | 485 | 485 | 485 | 485 |
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0042254
SDNY_GM_00188438
EFTA01356408