Re: FIM Relationships and FIMs - KYC Tracker [I]
Classification: For internal use only
Hi Melisa,
Will you please review the revised FIM Register and verify that these names are listed on the KYC tracker? I carried over the info from your previous check, but we've added several new FIMs to the register. They are also prospects in dbForce, so it's doubtful they are on the tracker. If they are not listed, will you please add them?
Please let me know if you have any questions.
Thanks,
Kind regards,
Jonathan Groom
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Jonathan Groom
EFTA01399063
Business Supervisory Office
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management
5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA
Tel. +1 904 645-1084
Mobile +1
Email
Securities offered through Deutsche Bank Securities Inc.
Classification: For internal use only
EFTA01399058
Good morning Jonathan,
I wanted to confirm that the FIM you sent earlier are now on the tracker for remediation. There are several (in red below) that do not have a KYC in file, can you please confirm who will work on this initial KYC?
FIM Name
GCIS Number
Risk
Last Approved KYC
Noyes LLC
518190
Moderate
9/16/2015
True Capital Management
478356
Low
5/14/2013
BP Finance
508565
High
7/17/2015
Matter Family Office (Deutsche Bank Cayman Ltd)
577095
Low
EFTA01399059
| None |
|---|
| WE Family Offices |
| 490175 |
| Low |
| None |
| AON Insurance Managers (Cayman) Ltd |
| 508954 |
| Low |
| None |
| Global Captive Management |
| 508716 |
| Low |
| None |
| Partners Capital S.A. (formerly Drizay Corporation S.A.) |
| 508401 |
| Moderate |
| 5/10/2016 |
| Legg Mason (1919 Investment Councel LLC) |
| 422798 |
| Low |
| KYC in progress (#301916145) |
| Hamlin Capital Management, LLC |
EFTA01399060
438956
Moderate
7/12/2017
Hirtle Callaghan & Co
423293
Moderate
7/17/2017
South Street Advisors LLC
212002
Low
7/21/2017
Windsor Advisory Group LLC
409946
Low
11/7/2013
Kerr Financial Group
457420
Low
None
Seamans, Richard F.
384606
Low
7/28/2009
EFTA01399061
Wright Investors Service
458724
Low
12/22/2012
Chilton Trust Company
524177
Low
None
Algonquin Advisors LLC
469712
Low
None
Thank you
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Melisa Venegas
Deutsche Bank Wealth Management
EFTA01399062
Deutsche Bank Trust Company Americas
345 Park Avenue, 26th floor, New York, NY 10154
Tel: + 1 212 250 1493
Securities offered through Deutsche Bank Securities Inc
Classification: For internal use only
Hi Kim/Zia/Jonathan:
EFTA01399057
Does either one of you have a chance to opine on this, if possible sometime today?
Thank you
Oliver
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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:
I was not aware that you were looking for feedback. There are customer owners assigned to the FIMs in DBForce. They would be responsible for the KYCs. If these are active FIMs, KYCs need to be completed as soon as possible. Additionally, the high risk FIM needs a KYC update as well. Finally, I am still not confident that the list is complete. Are we moving forward with reaching out to the Bankers to get confirmations?
Kimberly Hart
Managing Director I Divisional Control Officer
Wealth Management Americas
Deutsche Bank Trust Company Americas
345 Park Avenue, New York, NY 10154
Tel. +1 212 454-2877
Fax +1 646 863-9809
Mobile +1
Email
Securities offered through Deutsche Bank Securities Inc