FW: Combined KYC list and priorities [I]
Classification: For internal use only
Hi Ian/Bill:
Thanks for your input provisions, I took the liberty to review and clean up the files, we have now also added ISG RM names and potential KYC outreach contacts going forward.
Our key focus for now should be have a complete inventory of clients in scope including prioritization to share with CIB for identification of action items and time lines.
In this context I ask you to amend the template as following:
Column M: Based on CIB business differentiation by OTC product (FX vs IR) please flag what kind of exposure the clients have, I hope and assume that it will not matter from a contractual documentation perspective, nevertheless we should have this breakdown for future reviews
Column 0: For the clients that are not a priority and without current CIB KYC in place is offboarding a feasible alternative (62 or almost 50% for ISG and 30 or almost 40% of IWP clients)? If offboarding is not an option, please provide business rationale/commercial viability.
other outstanding tab: I am not clear on the purpose probably lacking historic discussions, upon review I highlighted counterparty names which were already captured in first tab, hence not sure what is outstanding here. Only 7 names are not covered yet, can you please advise, clarify?
PS: I will see Vicky on Monday to review next steps also to be discussed in upcoming call hence keeping this in small circle for now .
EFTA01408523
Best
Oliver
<OTC Derivatives Project WM Client list Feb 22.xlsx.secure>
Hi Emily
Not sure what if any engagement occurred from your end or from somebody in your team on this in the past. I am coordinating agenda with local and UK WM and CIB stakeholders going forward. One question I have for you is whether your team can assist in checking KYC status for those 200+ clients as per attachment.
In case CIB is asking for docs to rely upon etc tbd i would like to understand if all of those have already been remediated or if not can be prioritized/offboarded etc.
Do you by chance have somebody that could look into this next week (maybe Passcon assuming most are MR and LR) and amend table with KYC status accordingly? Let me know please.
Looking forward to seeing you again in Jax for comm day.
Cheers
Oliver
EFTA01408520
Classification: For internal use only
Brian/Anas,
Can we get last KYC date, risk, Primary Officer/ACO, for attached list? Tricky part will be we don't have GCIS numbers in this view.
Kind Regards,
Emily
<image001.png>
Emily Craig
Director
Deutsche Bank Wealth Management
Deutsche Bank Securities, Inc
1 South Street, Baltimore, MD 21202-3298
████████████████████████████████████████████████
wM Mercury on myDB
Classification: For internal use only
Are the names verbatim, as they appear in dbForce?
ch
EFTA01408519
Subject: Re: Combined KYC list and priorities [I]
Those should be the names in dB force.
Please don't kill yourselves with this but we would need to understand whether we have full completed and approved KYCs on file for those or what status is. If you cannot find Name match right away I will reach out to product teams and ask for review.
Best regards
Oliver
EFTA01408518
Classification: For internal use only
They look to be exact to Client Name in dbForce.
Kind Regards,
Emily
<image001.png>
Emily Craig
Director
Deutsche Bank Wealth Management
Deutsche Bank Securities, Inc
1 South Street, Baltimore, MD 21202-3298
WM Mercury on myDB
Classification: For internal use only
See the attached file. I added the columns in yellow.
EFTA01408513
The following names do not exist verbatim in dbForce:
140-154 W 72 Realty LLC
198-202 Elizabeth Street LLC
239-243-247 W 21 Realty LLC
23rd Street, LLC
245 E 19 REALTY LLC
250 E 63 REALTY LLC
509 Madison Avenue Associates LP
Allen, Paul Gardner
Amazonia SP
Amir Weissfisch
AMZAK Capital Management
ANTONY S & JANET C WILLIAMS
Arclight Energy Partners Fund V LP
Banco Invex, SA, Institucion de Banca Multiple, INVEX Grupo Financiero as Trustee to Fideicomiso No 911
Belford Investments
Ben Nevis Partnership SP
Bhat, Nityanand
BioDuro LLC
Burger, Peter
BURO INMOBILIARIO AVANTI SA DE CV
Camphill Village Copake Foundation, Inc
EFTA01408514
CHARLES M VON ARENTSCHILDT TR UAD 04/19/12 CHARLES & MEREDITH TTEES Charles Stein
Chicago NBC Tower Investments, Inc
CORDISH ENTERPRISES II LLLP
CROWN WATERIDGE ASSOCIATES LP
CUSTODY ERRORS & CLAIMS ACCOUNT MISC
Daniel and Suzanne Cohen
DAVID TODD STEVENS
DAVID W ZALAZNICK & BARBARA M ZALAZNICK
DB Zurich
Diro PTE LTD
Elysee of Brickell LLC
EQUINIMITY LLC
ETERNITY LIMITED
Euro-Partners Fund
FIDEICOMISO BANAMEX 16730-2
Fouad Chartouni
FRANCISCO AGUSTIN COPPEL LUKEN
Gabena PTE LTD
GEOFFREY H PALMER TRUST
GEORGE B KAISER
GOLDENTREE ASSET MANAGEMENT LP
Gracie Investing, LLC
GUY WYSER PRATTE
H/D INVESTORS FUND LP
EFTA01408515
Harmonia International Ltd.
Hartz Capital Investments, LLC
HENRY RITCHOTTE
Heritage Investing Inc
Humility Ltd
ICARO INVESTMENTS LIMITED
Inmobiliaria Evian-Chamonix SA de CV
IN-REL Properties Inc
Inverban SA
James E Ferrell Revocable Trust Two
James P Kellner & Michele D Kellner
JANA HOLDINGS LLC
JESUS MANUEL MUNOZ and MARYEN MUNOZ
JOHN R MILLER ENTERPRISES LLC
JOHN W CHILDS
JONATHAN BLOOSTEIN
JORGE LUIS ORBAY & MARIA MARGARITA TREMOLS
Josiko Properties LLC
Juergen and Meifang Buchsteiner
JWM Family Enterprises, Inc
Karlin Las Palmas Subsidiary, LLC
KIFENOR SA
KLAUS NEHRING
Lenton Properties Inc
Lepow, Howard
Linton Grove Holdings LLC
EFTA01408516
MC2 Holdings LLC
Meister, Keith A
Milber Holdings LLC
MONTECO INTERNATIONAL CORP
Mulberry Vine Limited
OP, LLC
PARKWOOD LLC
Parmer RTP LLC
PETER FINE
PINEWOLD MANAGEMENT COMPANY LP
PRIVATE WEALTH MANAGEMENT NEW YORK
PRIVATE WEALTH MANAGEMENT NY AC PB US ONSHORE
PRODUCTIVE HOLDINGS S A
Railroad Properties LLC
RAJ BHATTACHARYYA
Robert L Allbritton
Ronald W Burkle
SCA Ventures LLC
Sincock II, Craig R
SOMERSTON INVESTMENTS LTD
Southern Fox Investments Ltd
Southern Trust Company Inc
STEVEN A TANANBAUM
STEVEN J KASSIN & ISAAC S FRANCO JOINTLY & SEVER
Stitzer, Howard T
EFTA01408517
T CO Metals LLC
TENDENCIA ASSET MANAGEMENT LTD
THE FLORESCUE FAMILY CORP
The Gary E Primm Family Trust dated April 10, 1984
THE JAMES P KELLNER 2008 IRREVOCABLE TRUST
The MST Trust
THE PETER MULLIN FAMILY TRUST UDT DTD 12-18-2000
Third Street Mall Properties, LLC
Thomas Point Ventures LP
Tilman J. Fertitta
Timothy Rattray
TOW, LEONARD RELATIONSHIP
TRUMBULL EQUITIES LLC
Vanguardia Inversiones SAS
Visper Pte Ltd
Vitton, Michael
Brian Heidelbach
Thank you very much Brian and Emily.
Ian/Bill:
We are pulling KYC stats for OTC derivatives clients. Unfortunately the names do not match for the client names enclosed. Can you please review DB Force and provide Brian with GCIS numbers for those 100 IWP and Cap Mkts clients?
Thank you.
Oliver
FYI
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