FW: Market Purity Work Shop [C]
Original Appointment From: Oliver Esslinger Sent: Monday, May 07, 2018 4:42 PM To: Oliver Esslinger; Kimberly Hart; Sheffali Welch; Julie Cataudella; Janet Morales; Andrea DeMar; Clemence-J Loupil; zia Memon; Lauryn Hart; Saleha Bilal; Brian H Heidelbach; Ana-Marie Callangan; Stephan Wessels; Sylvia Junghardt Cc: Carl-von Tippelskirch Subject: Market Purity Work Shop When: Monday, May 14, 2018 10:00 AM-11:00 AM (UTC-05:00) Eastern Time (US & Canada). Where: 345 Park Avenue, conf room 2404, conf call dial in US: 877 329 6902 ; int'l: +1 (647) 252 8995, code: 24540439#
EFTA01399046
Classification: Confidential
Dear all:
Please find enclosed deck for our 10am work shop, hand outs will be provided to those attending in person at 345 Park. Best Oliver
Oliver Esslinger
Director I COO
Head of Business Integrity Americas
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas
EFTA01399045
Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA
Tel.: +1 (212) 454-0439
Fax: +1 (646) 690-1201
Email:
Classification: Confidential
Hi Armen/Julie:
Before I reach out to Sub GMT heads or similar I thought I'd start with you to review USO population in scope for market purity. As discussed earlier today in our work shop (Armen, I can debrief you offline) please find enclosed universe of "impure" data (249 clients) asking you to review and provide feedback in excel template columns V-X using enclosed legend as reference as guidance. I already cross referenced to previous PCS or other files you shared with only one match. Besides the impurity based on UBO domicile Metric 1 (column T) we also tracked Metric 2 aka RM covering more than 10 jurisdictions in column S with the following outcome highlighting Mary Ann (9 close to threshold put still "pure" ) and Terrence (11). If needed please discuss with Andrew to get some confirmation in terms of target market coverage as well
Please contact me for any questions, otherwise kindly try to provide me back with high level feedback by end of this week. Thank you Oliver
Legend:
Outcome Status Rationale
For review Under review with BC Resolution workshop free text
Remediation Global Escalation (if required)
Accepted impurities Not started
Closure In progress
Completed
No further actions
In progress of correcting
Exit client
Move client
EFTA01399044
Oliver Esslinger
Director I COO
Head of Business Integrity Americas
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA
Tel.: +1 (212) 454-0439
Fax: +1 (646) 690-1201
Email: