document_description: KYC form for Harry Beller, an accountant residing in the USA, detailing personal and professional information, including his non-PEP status and lack of non-banking relationships with Deutsche Bank.

key_people:
Harry Beller
Paul Morris

key_locations: 12 Golar Drive Monsey NY 10952 United States

document_subtype: KYC (Know Your Customer) form

key_organizations:
HBRK Associates, Inc
Deutsche Bank


source: doj

document_description: A Know Your Customer (KYC) document with empty fields for institution, country, and estimated assets under management. It also requests information on the family situation of the individual.

document_type: other

document_subtype: KYC Document


document_description: Know Your Customer (KYC) form for Darren Indyke, detailing personal and professional information, including residence, citizenship, occupation, and employer details. The form confirms that Indyke is not a Politically Exposed Person (PEP) and has no known non-banking relationship with Deutsche Bank. Wealth details are not filled in.

document_type: financial

key_locations:
USA
New York, NY, United States

document_subtype: KYC Form

key_organizations:
Southern Financial LLC
Deutsche Bank


document_description: A Know Your Customer (KYC) document page containing information about financial institutions, countries, and estimated assets under management. It also includes a section for indicating the family situation of individuals.

document_type: tabular


document_description: KYC form for Erika Kellerhals, an attorney residing in the USA, detailing personal and professional information, including employer details and political exposure status. The form lacks wealth details and financial estimates.

key_organizations:
Kellerhals Ferguson Kroblin PLLC
Deutsche Bank


document_description: A KYC (Know Your Customer) document containing information about financial institutions, countries, and estimated assets under management. It also requests information about the family situation of individuals.

document_subtype: KYC Print


document_description: Know Your Customer (KYC) document for Jeffrey E. Epstein, detailing personal and professional information, political connections, and source of wealth.

key_people:
Jeffrey E. Epstein
Bill Clinton
Prince Andrew
Alan C. Greenberg

key_locations: 6100 Red Hook Quarter B3, St. Thomas, USVI

key_organizations:
Southern Financial LLC
Bear Stearns
J. Epstein & Co.
Deutsche Bank


document_description: This document provides a wealth profile and legal entity details for Southern Trust Company, Inc., a private investment company owned by Jeffrey Epstein. It includes financial estimates, corporate asset evidence, and legal entity information.

title: Wealth Profile and Legal Entity Details for Southern Trust Company, Inc.

key_people:
Jeffrey Epstein
Harry Beller
Jeanne Brennan
Darren Indyke

key_locations:
US Virgin Islands
USA

key_organizations:
Southern Trust Company, Inc.
Deutsche Bank


document_description: This document contains comments and approvals related to the KYC process for entities associated with Jeffrey Epstein, including Southern Financial, LLC, Southern Trust Company, Inc, and J. Epstein Virgin Islands Foundation, Inc. The comments detail the reasons for KYC approval, including the provision and review of required documents, understanding of account structures, and due diligence searches. The document also includes onshore approval signatures from key personnel.

key_people:
Jeffrey Epstein
Kshitij Golani
Cynthia Rodriguez
Stewart Oldfield
Andrew F Gallivan
Yoonsun Chung

document_subtype: KYC Comments and Approvals


document_description: KYC form for Harry Beller, an accountant residing in the USA, detailing personal and professional information, and confirming no political exposure or non-banking relationship with Deutsche Bank.


document_description: A Know Your Customer (KYC) document containing information about financial institutions, countries, and estimated assets under management. It also requests information about the family situation of individuals.


document_description: A Know Your Customer (KYC) form with empty fields for institution, country, and estimated assets under management. It also requests information on the individual's family situation.


document_description: A KYC form page listing institutions, countries, and estimated assets under management, along with a section for indicating family situations of individuals.


document_description: The document provides financial information about Jeffrey Epstein, including his estimated annual income, investable assets, and net worth. It also mentions his business ventures and partnerships, such as the acquisition of a property in Manhattan, the founding of Southern Trust Company Inc, and investments in media ventures. The document lists other known financial institutions but leaves their details empty.

key_people:
Jeffrey Epstein
Leslie Wexner
Donny Deutsch
Nelson Peitz
Mortimer Zuckerman
Harvey Weinstein
Bruce Wasserstein
Mar Roshan

key_locations:
Ohio
Upper East Side, Manhattan
St. Thomas, U.S. Virgin Islands

key_organizations:
The Limited
Abercrombie & Fitch
Financial Trust Company
Southern Trust Company Inc
Radar Magazine


document_description: Know Your Customer (KYC) document for Southern Financial LLC, detailing financial estimates, legal entity details, and business activities related to Jeffrey Epstein.

key_organizations:
Southern Financial LLC
Southern Trust Company Inc
Deutsche Bank


document_description: The document is a KYC (Know Your Customer) form related to legal cases and client information. It includes details about court cases involving Erika Kellerhals, a criminal conviction of the client, and the client's lack of involvement in litigation against Deutsche Bank AG. It also confirms no associations with sanctioned or high-risk countries and the attachment of corporate documentation.

key_people:
Erika Kellerhals
James P Carroll
Dawn Prosser

document_type: legal

key_organizations:
Deutsche Bank AG
Supermarket Source Inc


document_description: This document contains KYC case comments and approvals related to high-risk clients including Jeffrey Epstein and associated entities. It includes reasons for KYC approval, risk factors, and verification details.

document_subtype: KYC Case Comments

key_organizations: J. Epstein Virgin Islands Foundation, Inc


document_description: Oliver Esslinger requests clarification and amendments regarding trade IDs and maturity dates in a managed exit excel file. Ellenoi Jarvis responds, indicating a conversation with Paolo about existing trades expiring in 2023 that need to be flagged as managed exit.

key_people:
Oliver Esslinger
Ellenoi Jarvis
Paolo
Keith
Funda
Dan Gray

document_type: correspondence

key_locations:
New York
LA

document_subtype: email

key_organizations:
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas


document_description: An internal communication from Nina Tona Brunelli at Deutsche Bank Wealth Management discussing pending cases for the week. The email is intended for internal use only and includes a list of cases pending with the business or COB (Compliance Operations Bureau).

key_people:
Nina Tona Brunelli
Jamaal Bushara
Joseph Harleston
Ana Hunter
Padam Chainani
Ellenoi Jarvis
Oliver Esslinger
Ian Salters

key_organizations:
Deutsche Bank Wealth Management
Institutional Wealth Partners


document_description: The document contains two tables related to client management and remediation processes. The first table lists various entities responsible for remediation or refresh tasks, along with the person responsible and the date. The second table lists clients with pending business actions, specifying the KYC type and current status of each case.

key_people:
Jamaal
Joe
Nina Tona Brunelli

key_locations: 5022 Gate Parkway, Jacksonville FL 32256

key_organizations:
Vanguardia Inversiones SA
134 West 58th Realty LLC
Ultralat Capital Markets
Colina Insurance
Dobson CC Limited Partnership
Dakota Pacific Global Macro fund I.LC
Staple Street Global
Daniel and Suzzan Cohen
DA Brazil
DA Venezuela
Anschutz Investment Company
Fox Growth Fund Inc
Niscaly
Black Maple Capital Partners
The Lamia Ventures Corporation
Blue Nfedia Investments
Deutsche Bank Wealth Management


document_description: A report detailing the KYC status of various clients, including pending verifications and required actions from businesses.

document_subtype: KYC Status Report

key_organizations:
Deutsche Bank Wealth Management
Vanguardia Inversiones SA
Dakota Pacific Global Macro Fund 1.1.0
Staple Street Global
DA Brazil
DA Venezuela
Ultralat Capital Markets
Anschutz Investment Company
Fox Growth Fund Inc
Niscaly
Black Maple Capital Partners
The Lamia Ventures Corporation
Blue Media Investments


document_description: A report detailing the status of various clients' KYC processes, including remediation, extension, and NCA (New Client Acceptance) statuses. The document lists pending items and clarifications required from clients.

key_organizations:
Deutsche Bank Wealth Management
Vanguardia Inversiones SA
Dakota Pacific Global Macro Fund LLC
Staple Street Global
DA Brazil
DA Venezuela
Ultralat Capital Markets
Anschutz Investment Company
Fox Growth Fund Inc
Niscaly
Black Maple Capital Partners
The Lamia Ventures Corporation


document_description: Confidential communication from Deutsche Bank regarding IWP products, investment ideas, and solutions. It emphasizes that the material is for discussion purposes only and does not create any legally binding obligation. The communication is confidential and not to be reproduced or distributed without written consent.

key_organizations:
Deutsche Bank
Institutional Wealth Partners (IWP)


document_description: This document is a Know Your Customer (KYC) form for Jeffrey Epstein's relationship with Deutsche Bank. It includes details about the relationship, accounts involved, and contact information for the relationship manager.

title: DB PWM GLOBAL KYC/NCA PART A

key_people:
Jeffrey Epstein
Stewart Oldfield
Darren Indyke
Harry Beller


document_description: This document provides a summary of account ownership for Jeffrey Epstein's deposit and brokerage accounts. It includes details about the account purpose, expected asset inflows and outflows, and related parties with their roles.

title: Account Ownership Summary for Jeffrey Epstein

key_people:
Jeffrey Epstein
Stewart Oldfield
Harry Beller
Darren Indyke


document_description: The document outlines the purpose and expected financial activities of an account intended to manage the foundation's securities and trade investments. It includes details on expected inflows and outflows, asset volumes, and related parties.

key_people:
Jeffrey E. Epstein
Erika Kellerhals
Darren Indyke


document_description: A Know Your Customer (KYC) document with empty fields for institution, country, and estimated assets under management. It also requests information on the family situation of the individual.


document_description: A Know Your Customer (KYC) form with empty fields for institution, country, estimated assets under management, and family situation of the individual.


document_description: A Know Your Customer (KYC) document containing information about financial institutions and family situations of individuals. The document includes placeholders for institution names, countries, and estimated assets under management, as well as family situation details such as marital status and other family members.


document_description: The document provides financial information about Jeffrey Epstein, including his estimated annual income, net worth, and investable assets. It mentions his business ventures and partnerships, such as the acquisition of New York magazine and the founding of Southern Trust Company Inc. The document also lists other known financial institutions associated with Epstein, though specific details are not provided.

key_organizations:
The Limited
Abercrombie & Fitch
Financial Trust Company
Southern Trust Company Inc
Radar magazine


document_description: Know Your Customer (KYC) form for Jean Anne Brennan Wiebracht, detailing personal, professional, and financial information.

key_locations:
USVI
St. Thomas, United States

key_organizations:
Southern Financial, LLC
Deutsche Bank


document_description: This document provides Know Your Customer (KYC) information for the J. Epstein Virgin Islands Foundation, Inc. It includes details about the legal entity, its purpose, incorporation, management, and financial activities. The foundation is a 501(c)3 nonprofit organized for charitable purposes, with Jeffrey Epstein as President, Darren Indyke as VP, and Erika Kellerhals as Secretary/Treasurer. The foundation's initial funds came from Epstein's personal assets, and it operates primarily in the USA and USVI with an estimated annual gross receipt of $100,000.

title: KYC Mint - J. Epstein Virgin Islands Foundation, Inc

key_people:
Jeffrey Epstein
Darren Indyke
Erika Kellerhals

key_locations:
United States Virgin Islands
St. Thomas


document_description: This document is a Know Your Customer (KYC) compliance form for Jeffrey Epstein's relationship with Deutsche Bank. It includes risk assessments, database search results, and compliance approvals.

title: DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B

key_people:
Jeffrey Epstein
Darren Indyke
Harry Beller
Jeanne Brennan
Chip Packard
Pat Harris

key_organizations:
Deutsche Bank
Southern Financial LLC
Southern Trust Inc
Financial Informatics Inc
J. Epstein & Co.
Financial Trust & Co.

reference_numbers: KYC #███████


document_description: The document is a KYC (Know Your Customer) form related to legal cases and client information. It mentions court cases involving Erika Kellerhals as counsel, a criminal conviction of the client, and the client's lack of involvement in litigation against Deutsche Bank AG. It also confirms no associations with sanctioned or high-risk countries and includes corporate documentation.


document_description: This document contains KYC comments and approvals related to high-risk clients including Jeffrey Epstein and associated entities. It includes reasons for KYC approval, risk factors, and verification details. Onshore and LATAM/International approvals are documented with signatures and dates.


document_description: A memorandum from Darren K Indyke to Amanda Kirby instructing a wire transfer of $665 from account #35266976 to Alfa Bank in Moscow, Russia, via Wells Fargo Bank N.A. The document includes contact information for Bella Klein for any questions.

key_people:
Darren K Indyke
Amanda Kirby
Bella Klein

document_subtype: wire transfer

key_organizations:
Wells Fargo Bank N.A.
Alfa Bank


document_description: A memo discussing the existing relationship with Zorro Management, LLC, owned by Jeffrey Epstein, highlighting the high-risk factors due to Epstein's legal issues and the decision to continue the relationship despite these risks.

key_people:
Jeffrey Epstein
Cynthia Rodriguez

document_subtype: memo

key_organizations:
Zorro Management, LLC
AML Compliance


document_description: A confidential memo from Cynthia Rodriguez, Assistant Vice President at Deutsche Bank Trust Company Americas, part of Deutsche Asset & Wealth Management, located at 345 Park Avenue, New York, NY. The memo is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

title: Confidential Memo from Deutsche Bank

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management


document_description: The document contains a table listing high-risk customers and their KYC (Know Your Customer) update due dates. Stewart Oldfield is the customer owner for all listed entities, which include both individuals and organizations. The table includes details such as customer names, types, client since dates, relationship customer numbers, and KYC update due dates.

key_people:
Stewart Oldfield
Leon D. Black
Adam M. Lindemann

key_organizations: The 2007 Jeffrey E. Epstein Insurance Trust #3


document_description: A table listing various organizations and individuals with their associated financial relationships, dates, and other details. The table includes entities like Gratitude America, Zorro Management, LLC, and Epstein, Jeffrey, among others, with a focus on their financial relationships and dates of association.

document_subtype: financial relationships table

key_organizations: The George Lindemann Family Limited Partnership Series 1


document_description: A correspondence from Daphne Cales, Director of Banking Services & Branch Manager at Deutsche Bank Trust Company Americas, including contact information and confidentiality notice.


document_description: The document contains a table categorizing risk levels and their associated counts, along with a note about outstanding ACUs and efforts to resolve them. It is authored by Rich Iarossi from Deutsche Bank Wealth Management.


document_description: A document containing a table with high, moderate, and low values, along with a grand total. It also includes contact information for Melisa Venegas from Deutsche Bank Wealth Management.


document_description: Monthly AML/KYC escalation reports for overdue items are included for review and action.

title: August 2014 AML/KYC Escalation Reports


document_description: Internal memo requesting approval of Annual Client Updates (ACUs) for high-risk clients by MDs. The document includes a table listing various clients, their customer owners, and updates on their status.

key_people:
Andrew Gallivan
Douglas Robertson
Mark Gonzalez
Stewart Oldfield

document_subtype: internal memo

key_organizations:
Atlantix Investment LLC
Millstein Atlantix LLC
435 E 76 3D LLC
555 W 23 N4R LLC
635 W 42 7E LLC
67 Liberty PHB LLC
Butterfly Trust
Gratitude


document_description: The table contains information about various entities and their status as of specific dates. It includes details such as entity names, associated individuals, and notes on material changes.

key_people:
Stewart Oldfield
Andrew Gallivan
Thomas-B Mayer

key_organizations: Elmer Campbell Family Delaware Dynasty Trust

key_organizations: Josephine Campbell Family Delaware Dynasty Trust

key_organizations: Paul Campbell Family Delaware Dynasty Trust

key_organizations: Shelley Campbell Family Delaware Dynasty Trust


document_description: A memo discussing the negative media and court cases related to Jeffrey Epstein, confirming that all alerts were false positives and no new issues have arisen. AML Compliance sees no reason to discontinue the relationship with Epstein.

key_people:
Cynthia Rodriguez
Jeffrey Epstein


document_description: The table contains information about various entities, their representatives, and updates on their status as of late September and early October 2016. It includes details such as entity names, representatives, dates, and notes on material changes.

key_people:
Douglas Robertson
Andrew Gallivan
Mark Gonzalez
Stewart Oldfield

document_subtype: table

key_organizations:
Millstein Atlantix LLC
435 E 76 3D LLC
555 W 23 N4R LLC
635 W 42 7E LLC
67 Liberty PHB LLC
Butterfly Trust
Gratitude America
HBRK Associates, Inc
Hyperion Air, LLC
JEGE, Inc
Neptune, LLC
NES, LLC
Plan D, LLC
The 2007 Jeffrey E. Epstein Insurance


document_description: A table listing trust information related to Jeffrey E. Epstein Insurance Trust #3, including details of trustees, dates, and material changes.

key_people:
Stewart Oldfield
Andrew Gallivan
Thomas-B Mayer
Vaishali Mehta

document_subtype: Trust Information Table


document_description: Internal memo regarding PCR Alert for Jeffrey Epstein requiring compliance clearance before KYC approval.

key_organizations:
DBOI Global Services Private Limited
Private Wealth Management


document_description: A note from Melisa Venegas at Deutsche Bank Wealth Management, marked as confidential under Federal Rule of Criminal Procedure 6(e).

document_subtype: note


document_description: This table lists various organizations and individuals associated with Southern Financial Relationships, including their names, types, dates, and a reference number. Stewart Oldfield is a key person mentioned across all entries.

title: Southern Financial Relationships

document_subtype: financial relationships


document_description: A table listing various organizations with their relationship types, dates, and other details. The table includes entities like Jeepers, Inc, J. Epstein Virgin Islands Foundation, Inc, and others, with relationships categorized as 'SOUTHERN FINANCIAL RELATIONSHIP', 'TISCH FAMILY RELATIONSHIP', etc. The table is followed by a correspondence from Daphne Cales, Director at Deutsche Bank Trust Company Americas.

key_people:
Daphne Cales
Stewart Oldfield


document_description: The table contains information about various entities and their interactions with Andrew Gallivan. It includes details such as entity names, reference numbers, dates, and notes on changes or updates. The entities include corporations, trusts, and LLCs, with notes on whether there were material changes or updates in their status or activities.

key_people:
Andrew Gallivan
Rachel Maglicic
Stewart Oldfield

key_organizations:
Cabrerizo, Tom
Florescue Family Corporation
Butterfly Trust
HBRK Associates, Inc
Hyperion Air, LLC
JEGE, Inc
JEGE, LLC
Neptune, LLC
NES, LLC
Plan D, LLC
Souther Financial LLC


document_description: The table contains records of account reviews or updates for Andrew Gallivan, with dates ranging from February 28, 2017, to March 9, 2017. The records indicate no material changes or activities in the accounts, with Rosemary Vrablic frequently mentioned as a key person involved.

key_people:
Andrew Gallivan
Rosemary Vrablic
Mary Ann Coleman


document_description: A table listing entries for Andrew Gallivan with dates, status updates, and associated names.

key_people:
Andrew Gallivan
Terrence Tangney
Terri Sohrab


document_description: A notice from Deutsche Bank regarding potential tax liabilities from asset liquidation and a disclaimer about not providing tax or legal advice.

document_subtype: notice

key_organizations:
Deutsche Bank
Deutsche Bank AG
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank Trust Company
Deutsche Bank Trust Company Delaware
Deutsche Bank National Trust Company


document_description: This document appears to be related to Deutsche Bank Wealth Management, possibly containing confidential financial information.

title: Deutsche Bank Wealth Management

document_subtype: bank document


document_description: The document is a financial report detailing information about various private equity investment entities managed by Andrew Gallivan. It includes details about the entities' net profits, investable assets, and any changes in their financial activities.

key_people:
Andrew Gallivan
Mark Gonzalez

document_subtype: financial report

key_organizations: CJA Private Equity Financial Restructuring Master Fund I, L.P.

key_organizations: CJA Public Private Multi Manager Master Fund, L.P.


document_description: The document is a financial report detailing various entities and their status updates as of March 2017. It includes information on changes in beneficiaries, material changes, and updates on investment opportunities.

key_people:
Andrew Gallivan
Rachel Maglicic
Stewart Oldfield
Brian Convey


document_description: This document contains a table of client account reviews conducted by Andrew Gallivan and others on various dates in March 2017. It includes details about discussions with clients regarding their accounts, any material changes, and the status of their accounts.

key_people:
Andrew Gallivan
Brian Convey
Joanne Jensen
John Marson
Scott Prokop

document_subtype: client account review


document_description: The table provides a summary of various entities managed by Andrew Gallivan, detailing their purpose, current holdings, and any recent changes. Entities include D & D Funding II, LLC, Winklevoss Index, LLC, Wolfson Equities, and others. The document notes the retirement of Donna Snyder and mentions no material changes for several entities.

key_people:
Andrew Gallivan
Chris Diamantis
Joe Dinardo
Joanne Jensen
Andrea Nicoletti
Malcolm Kimble
Mary Ann Coleman
Rosemary Vrablic

document_subtype: financial summary

key_organizations:
D & D Funding II, LLC
Winklevoss Index, LLC
Wolfson Equities
Bridge Equities VI, LLC
STEWART BAINUM JR. REVOCABLE TRUST
Sunbridge Holdings, LLC
DVI PE (Mauritius) Ltd
1960 East 5th Street, LLC
469 Avenue S LLC


document_description: A table listing updates and changes related to KYC (Know Your Customer) procedures, primarily involving Andrew Gallivan and Rosemary Vrablic. The entries are dated between February 22, 2017, and March 9, 2017, with consistent notes of 'no changes' or 'no material changes.'

key_people:
Andrew Gallivan
Rosemary Vrablic
Terrence Tangney


document_description: The table contains information about conversations and actions taken by Andrew Gallivan regarding compliance and certification forms for a resident of Panama. It includes dates and mentions of KYC completion and electronic document handling.

key_people:
Andrew Gallivan
Terrence Tangney
Terrence Tansne


document_description: The document discusses the history and strategic decisions of Fastighets AB L E Lundberg, focusing on its expansion from residential building to real estate management and further diversification into finance and industrial sectors during the 1980s.


document_description: The document contains information about the Lundbergs company, its transition from a construction company to an investment company, and its listing on the Stockholm Stock Exchange. It also includes details about George Vakirtzis, Managing Director at Polembros Shipping, Limited, and his income sources.

key_people:
Fredrik Lundberg
George Vakirtzis
Andrew Gallivan
Terrence Tangney

key_locations: Stockholm Greece

key_organizations:
Lundbergs
Polembros Shipping, Limited
American Steamships, Inc.


document_description: A table listing entries with IDs, names, dates, and notes on client income activities. No significant changes reported.

key_people:
Mark Gonzalez
Andrew Gallivan


document_description: The document is a financial report detailing private equity investments managed by Gapstow Capital Partners LP and its associated funds. It includes information on the income derived from investment management fees, sources of fund commitments, and net profits for various funds. No significant changes have been reported for the entities listed.

key_organizations: Gapstow Real Estate Yield Master Fund, L.P.


document_description: A table containing financial transaction records associated with Andrew Gallivan, including transaction IDs, dates, and status of changes.

key_people:
Andrew Gallivan
Stewart Oldfield

document_subtype: ledger


document_description: Correspondence from Vaishali Mehta, Head of Anti-Money Laundering Business Risk at Deutsche Bank Wealth Management, discussing anticipated transactions and confirming no material changes with a client.


document_description: Request for MD approval of ACUs for high-risk clients, as per new policy requiring additional MD approval beyond account owner/RM approval.


document_description: The document is a table summarizing information about a Private Equity Investments firm. It includes details about the firm's commitments, sources of funding, and financial status. The table is repeated four times with slight variations in wording but consistent financial data.


document_description: The document is a tabular report listing various entities, their status, and any changes. It includes information on private equity investments, changes in beneficiaries, and updates on relationships with entities. Most entries report no material changes.

document_subtype: Entity Status Report

key_organizations: Gapstow Structured Credit Master Fund LP


document_description: The document is a financial summary detailing the status and activities of various trusts and companies associated with Jeffrey Epstein. It includes information on Southern Trust Company, The 2007 Jeffrey E. Epstein Insurance Trust #3, Altpoint Capital Partners, LLC, and others. The document notes whether there have been material changes in the nature of business or client status.

key_people:
Andrew Gallivan
Stewart Oldfield
Brian Convey
John Marson
Scott Prokop
Joanne Jensen


document_description: The table provides a summary of various entities and their financial status as of early March 2017. It includes information on AIV borrowers under the Blackstone Property Partners credit facility, joint ventures, and private investment entities. The table lists the entities, their representatives, dates, descriptions, and current asset holdings with Deutsche Bank (DB).

key_people:
Andrew Gallivan
Joanne Jensen
Chris Diamantis
Joe Dinardo
Winklevoss brothers
Donna Snyder
Malcolm Kimble

key_organizations:
BPP F.1 DE LP
BPP F.1 REIT Inc.
BPP F.2 DE LP
D & D Funding II, LLC
Winklevoss Index, LLC
Wolfson Equities
Bridge Equities VI, LLC
STEWART BAINUM JR. REVOCABLE TRUST
Sunbridge Holdings, LLC


document_description: The table contains information about various entities managed by Andrew Gallivan, including their names, dates of activity, and any changes or activities noted. The entities are primarily LLCs and other investment-related companies. The table also includes information about whether there have been any material changes or new activities, and the responsible person for each entity is Rosemary Vrablic.

key_people:
Andrew Gallivan
Rosemary Vrablic

key_organizations:
DVI PE (Mauritius) Ltd
1960 East 5th Street, LLC
469 Avenue S LLC
AQL Hartwell LLC
Community Organizations, LLC
Franco Realty Group, LLC
I Like Ike, LLC
I Like Ike Kingswood, LLC
Infinity AL Holdings, LLC
Infinity Entertainment, LLC
Infinity LW 12th Street, LLC
Infinity PLR 44, LLC


document_description: The table contains information about various LLCs and trusts, their associated individuals, and updates on their status as of early 2017. Most entries indicate no changes in status or KYC (Know Your Customer) information, with Rosemary Vrablic being a recurring name associated with these entities.


document_description: A table listing entries with IDs, names, dates, and other attributes. The table includes entries for Andrew Gallivan with dates in 2017 and mentions of Rosemary Vrablic and Terrence Tangney.


document_description: The document discusses the history and expansion of Fastighets AB L E Lundberg's property operations, highlighting its diversification into finance and industrial sectors during the 1980s. It also notes the public listing of Lundbergs on the Stockholm Stock Exchange in 1983.

key_people:
Lars Erik Lundberg
Fredrik Lundberg

key_organizations:
Fastighets AB L E Lundberg
Lundbergs


document_description: A table with risk levels and locations, followed by contact information for Melisa Venegas at Deutsche Bank Wealth Management.


document_description: The table contains information about various clients, their associated entities, and any material changes in their status as of late September and early October 2016. The clients are managed by Andrew Gallivan and include entities such as trusts and LLCs. Most entries indicate no material changes.


document_description: A correspondence from Vaishali Mehta, Head of Anti-Money Laundering Business Risk at Deutsche Bank Wealth Management, indicating no new developments or changes in a matter related to Shelley Campbell Family Delaware Dynasty Trust.

key_people:
Vaishali Mehta
Shelley Campbell
Thomas-B Mayer
Andrew Gallivan

key_locations:
San Francisco
Delaware


document_description: A memo from Aracely Sanchez requesting documentation for a new account setup, including a certificate of good standing, LLC operating agreement, addendum listing LLC owners, and authorization for signers not named in the operating agreement. Specific information is requested for account signers, except for Darren Indyke.

key_people:
Aracely Sanchez
Darren Indyke

key_locations: 345 Park Avenue, 24th Floor, New York, NY, USA

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
Deutsche Bank Securities Inc.


document_description: The document contains a table with various levels of data categorized as high, moderate, and low, along with a row for San Francisco with specific numerical values. It also includes contact information for Melisa Venegas from Deutsche Bank Wealth Management.

key_locations:
San Francisco
60 Wall Street, New York, NY, USA


document_description: The email discusses the status of KYC HR Clients Remediation as of September 17, 2017. It includes a table of submitted data to the Front Office and details on high-risk remediation data across various regions. The email also notes an increase in the initial population due to new AFC HR determinations and mentions items previously identified as 'Out of Scope' coming into scope.

document_type: email


document_description: The document contains a table summarizing the HR Client Remediation Progress with various categories such as 'Fully Approved', 'with Banker Team', 'with Manager Director (MD)', 'with ABR/AFC', and '# of Downgrades (No longer HR)'. It includes data for different dates in 2017 and mentions the number of cases in each category. The document also includes a note about inactive/closed KYC cases and small relationships with CBV < $2 mm.

title: HR Client Remediation Progress

key_locations: 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management


document_description: This document provides a status update on the KYC HR Clients Remediation as of September 8, 2017. It includes tables detailing the progress of KYC updates, high-risk remediation data, and week-over-week changes. Key individuals involved in the process are listed, and the document is marked for internal use only.

title: KYC HR Clients Remediation - Status

key_people:
Mehta
Felipe Godard
Sven-Otto Westphalen
Gallivan
Janet Morales
Nicholas Allen
Andrew
Karen Cohen
Adrienne Bull

key_locations:
USO NY
USO West
USO Central
LatAm
MEA NY
GAT
Other

document_subtype: internal report

key_organizations:
Daphne's Team
Front Office


document_description: The document outlines the steps and statistics related to the KYC (Know Your Customer) update process. It includes data on the number of clients in scope, completed, and remaining, as well as percentages of completion. The document also provides details on high-risk remediation data across various regions and departments, including the number of clients fully approved, with banker teams, and with managing directors. It also notes the number of downgrades from high-risk status.

title: KYC Update Steps

key_locations:
USO NY
USO West
USO Central
LatAm
MEA NY
GAT


document_description: A table showing approval numbers for various categories on specific dates in 2017.

key_people:
Rodrigo Quintero
Patrick Harris
Emily Craig P
Daphne Cales
Janice Franklin
Armen Brash
Sheffali Welch
Vaishali-P Mehta
Felipe Godard
Sven-Otto Westphalen
Janet Morales
Nicholas Allen
Andrew Gallivan
Karen Cohen

document_subtype: tabular


document_description: The document outlines the steps and progress of KYC updates, including the number of clients submitted to the Front Office, approved by the Front Office, approved by the Managing Director, and fully approved. It also provides a breakdown of high-risk remediation data across different regions and the status of clients in the KYC process.

key_locations: USO LatAm MEA-NY GAT

document_subtype: KYC Update Steps

key_organizations:
Front Office
Daphne's Team


document_description: The document is a chart titled 'HR Client Remediation Progress' displaying the progress of HR client remediation across different categories (Fully Approved, MC Approved, FO Approved, Submitted to Front Office (FO)) over time, from April 28, 2017, to August 25, 2017. The values shown represent counts at specific dates.


document_description: The document provides an update on the Know Your Customer (KYC) process, detailing the number of clients in scope, completed, and remaining. It includes a breakdown of the approval process by different teams and regions, as well as the number of clients identified as out-of-scope or downgraded from high risk.


document_description: The document provides an update on the Know Your Customer (KYC) process, detailing the number of clients in scope, completed, and remaining. It includes approval statuses from different teams and regions, as well as details on high-risk remediation data.

document_subtype: KYC Update

key_organizations:
Front Office
USO
LatAm
MEA-NY
GAT


document_description: A status report detailing the progress of KYC HR Clients Remediation as of August 4, 2017, including the number of submissions to the front office, approvals by the front office, MD, and full approvals over several dates.

title: KYC HR Clients Remediation - Status

key_people:
Rodrigo Quintero
Patrick Harris
Emily Craig
Daphne Cales
Janice Franklin
Armen Brash
Sheffali Welch
Vaishali-P Mehta
Felipe Godard
Sven-Otto Westphalen
Janet Morales
Nicholas Allen
Andrew Gallivan

document_subtype: status report


document_description: The document provides an update on the Know Your Customer (KYC) process, detailing the number of clients in scope, completed, and remaining. It includes data on high-risk remediation across different regions and the status of approvals at various stages.


document_description: A status report on KYC HR Clients Remediation as of July 28, 2017, detailing the number of cases in various approval stages over several weeks.

title: KYC HR Clients Remediation - Status


document_description: The document provides an update on the Know Your Customer (KYC) process, detailing the number of clients in scope, completed, and remaining. It includes a breakdown of the approval process by different teams and regions, as well as the percentage of completion. The document also highlights the initial in-scope clients, out-of-scope identifications, and the status of approvals across various teams.

title: KYC Update Steps


document_description: The chart depicts HR Client Remediation Progress over time. Categories include Fully Approved, MC Approved, FO Approved, and Submitted to Front Office (FO). Dates range from 4/28/2017 to 7/28/2017.


document_description: The document contains tabular data tracking project or client status, including categories such as Owner, Total In Scope (Clients), # Completed (Clients), # Remaining (Clients), and % Completed. It includes detailed breakdowns by team and region, as well as week-over-week progress for various approval stages.


document_description: The document contains a table and a week-over-week report on KYC case statuses, including out-of-scope cases, downgrades, and approvals by different teams within Deutsche Bank. It provides data on cases submitted to the Front Office, approved by the Front Office, Manager Director, and fully approved cases over several weeks in 2017.

title: KYC Case Status Report

key_people:
Rodrigo Quintero
Patrick Harris
Emily Craig
Daphne Cales
Janice Franklin
Armen Brash
Sheffali Welch

document_subtype: report


document_description: This document provides a status update on the KYC HR Clients Remediation as of July 7, 2017. It includes details on the number of clients in scope, completed, and remaining, as well as percentages of completion. It also breaks down the data by regions such as USO, LatAm, MEA-NY, and GAT, and provides information on out-of-scope clients, downgrades, and cases with different teams.

title: KYC HR Clients Remediation - Status

document_subtype: KYC Remediation Status Report


document_description: The document is a status report on KYC HR Clients Remediation as of June 30, 2017, detailing the number of cases in various approval stages over several weeks.


document_description: The document contains tabular data related to client remediation and approval processes, including high-risk remediation data, out-of-scope identification, and weekly approval statistics. It includes details on initial in-scope clients, out-of-scope identified clients, and various approval categories over several weeks in 2017.

key_people: Daphne Rodrigo

key_locations:
USO
LatAm
MEA NY
GAT

key_organizations:
Front Office
Banker Team
Manager Director (MD)
ABR/AFC


document_description: The document contains a table showing the week-over-week status of KYC (Know Your Customer) cases submitted to the Front Office (FO) at Deutsche Bank. It includes categories such as 'Submitted to Front Office', 'FO Approved', 'MD Approved', and 'Fully Approved' with data from April 28, 2017, to June 25, 2017. The document also includes a note on downgrades and inactive/closed KYC cases.


document_description: The document provides a detailed overview of the KYC update process and high-risk remediation data, including the number of clients in scope, completed, and remaining, as well as the percentage completed. It also includes data on high-risk remediation across different regions, the number of KYC cases approved, rejected, and downgraded, and the average days spent in different stages of the process.

document_subtype: KYC Update and High Risk Remediation Data


document_description: The document contains a table showing the progress of various approval steps over several weeks, with a focus on completion data. It includes a week-over-week comparison of steps such as Completion, Obtain AFC Approval, Obtain MD Approval, FO Attest to Completeness, and Submit to Front Office (FO).

title: Weekly Progress Report

key_people:
Rodrigo Quintero
Patrick Harris


document_description: This document provides a status update on the KYC HR Clients Remediation as of June 9, 2017. It includes a summary of the KYC update steps, the number of clients in scope, completed, and remaining, as well as percentages completed. It also details high-risk remediation data across different regions, including the number of initial in-scope clients, out-of-scope identified, KYC cases approved and rejected, downgrades, and average days with different teams.


document_description: The document contains tabular data related to KYC case status by teams, aging of cases, and remediation steps over a period of time. It includes details on the number of clients, days with manager and director, days before final approval, and rejections. The document also provides a week-over-week breakdown of remediation steps from April to June 2017.

key_organizations: USO LatAm GAT


document_description: Sheffali Welch inquires about overdue KYC HR clients, exclusions for small clients, breakdown by banker, and if the report was sent to Patrick Campion.


document_description: The document provides a detailed breakdown of high-risk remediation data across different regions (USO, LatAm, MEA-NY, GAT) including initial in-scope clients, out-of-scope identified, KYC cases approved, rejected, and downgraded. It also includes average days with different teams and KYC case status by teams with aging details.

document_subtype: High Risk Remediation Data


document_description: The document contains tabular data related to KYC (Know Your Customer) remediation efforts, including completed and remaining client cases, percentage completed, and high-risk remediation data across different regions (USO, LatAm, MEA-NY, GAT). It also includes details on initial in-scope clients, out-of-scope identifications, KYC case approvals and rejections, and average days spent in different stages of the process.

document_subtype: KYC Remediation Data

key_organizations:
Front Office
DBF: DB Force


document_description: The document provides a detailed update on the Know Your Customer (KYC) process, including steps for updating KYC information, the number of cases completed, remaining, and their percentage completion. It also includes a breakdown of the current KYC case status by team, indicating pending, completed, out-of-scope, and total cases.

key_organizations:
Daphne's Team
Front Office
DB Force


document_description: Rodrigo Quintero discusses reviewing numbers for inconsistencies in KYC HR Clients Remediation.

title: KYC HR Clients Remediation - Status [I]

key_people:
Rodrigo Quintero
Patrick Harris
Emily Craig
Daphne Cales

document_subtype: email


document_description: The document is a KYC update table detailing the steps and progress of client KYC updates. It includes steps such as creating a KYC checklist, reviewing information and documents, updating KYC in the system, and more. The table also shows the number of clients in scope, completed, and remaining, along with the percentage completed. The document is associated with Deutsche Bank Securities Inc. and mentions teams like Daphne's Team (DT) and Front Office (FO).


document_description: The document contains a table with unspecified data related to different categories such as Low, San Francisco, High, and Moderate. It also includes a reference to Melisa Venegas from Deutsche Bank Wealth Management, located at 160 Wolf Street, New York, NY, USA. The document is marked as confidential under federal rules.


document_description: A table listing various LLCs and trusts with their relationships, case managers, customer owners, teams, and technical due dates. The entities are primarily associated with USO NY and have relationships with various capital and trust companies.


document_description: A document from Melisa Venegas at Deutsche Bank Wealth Management, marked as confidential and related to a legal matter, possibly under the jurisdiction of the Southern District of New York.


document_description: A confidential letter from Andrew Gallivan, Managing Director at Deutsche Bank Trust Company Americas, located at 345 Park Avenue, New York, NY, USA. The letter is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

document_subtype: letter


document_description: The document contains a table with data categorized by office locations (Los Angeles, New York, San Francisco, Miami) and risk levels (High, Moderate, Low). It includes counts of unspecified items in different age categories (0-30, 31-60, 61-90, >90 days). Additional text mentions Melisa Venegas from Deutsche Bank Wealth Management.

key_locations:
Los Angeles
New York
San Francisco
Miami


document_description: A progress report detailing the status of HR-OD and HR tasks, including completed, down, and due items as of November 30, 2018. It also includes a high-risk oversight category with total counts.

document_subtype: progress report


document_description: The document discusses the nature of derivatives, their use as hedging devices or investment vehicles, and the risks involved in over-the-counter (OTC) derivative transactions, including market, counterparty default, and illiquidity risks. It warns that certain transactions could result in the loss of the entire investment or incur unlimited loss.


document_description: An internal memo regarding the amendment to a Cinq case, with a request for expedited processing.

key_people:
Aracely Sanchez
Deepak Ramchandani
Arpit Pathak
Paul Morris
Raunak Tanwar
Vikas Dave

document_subtype: internal memo


document_description: Internal email correspondence regarding the Cinq case amendment. Aracely Sanchez requests assistance to expedite the amendment process. Deepak Ramchandani responds, indicating the need for proper routing through the Exception processing Team and seeks assistance from colleagues.

document_subtype: email correspondence

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
DBOI Global Services Private Limited


document_description: A person mentions that they will visit the bank to check their account and shares a picture of their account history from the last 14 days. They also mention an issue with sending an email to another contact due to a failure.


document_description: This document is a bank account history for a specific account holder at Alior Bank, covering the period from November 26, 2013, to December 26, 2013. It includes options to view account summary, account history, and account statements, but no transactions were found for the specified period.

document_subtype: bank statement


document_description: Internal communication regarding the processing of an amendment for a 'cinq case'. Aracely Sanchez requests assistance from Raunak and Vikas to send the amendment. Deepak Ramchandani emphasizes the need to attach the amendment to the case or route it through the Exception processing Team.

key_people:
Aracely Sanchez
Deepak Ramchandani
Raunak Tanwar
Vikas
Arpit Pathak
Paul Morris

key_organizations:
DBOI Global Services Private Limited
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management


document_description: Aracely Sanchez requests assistance from Deepak Ramchandani and team to send an amendment for Cinq cases. Additional information has been provided and needs to be processed quickly.

key_people:
Aracely Sanchez
Deepak Ramchandani
Raunak Tanwar
Vikas
Arpit Pathak
Paul Morris
Bella Klein

key_locations:
Jaipur, India
New York, NY, USA


document_description: This document appears to be a bank account activity summary from Alior Bank, covering the date range from November 26, 2013, to December 28, 2013. It indicates that there were 10 transactions during this period, but no specific transactions are listed.

document_subtype: bank account activity


document_description: The document outlines compliance guidelines for conducting trades and transactions in existing accounts without pre-approval, provided there is no unusual or suspicious activity. It also mentions the ability to open accounts for booking purposes if activity is pre-approved and the need to monitor reputational risks and review transactions.

key_people:
Jan
Elizabeth J. Ford


document_description: The document outlines a risk management process for client positions, specifying that high-risk cases are escalated to AFC for approval and clients are off-boarded after the obligation/position expires. The risk rating determines the duration of the process: 1 year for high risk, 2 years for medium risk, and 5 years for low risk.


document_description: A correspondence from Amanda Kirby, an associate at Deutsche Bank Trust Company Americas, including contact information and confidentiality notice.


document_description: Wolfram Lange discusses the need to review client cases where prior decisions were relied upon without questioning borderline client relationships, using Epstein as an example. He suggests potential solutions involving fuzzy logic searches and KYC file reviews.

key_people:
Wolfram Lange
Michael Kim
Epstein
Packard
Caruso

document_subtype: memo


document_description: A confidential correspondence from Zia Memon, Managing Director at Deutsche Bank Securities Inc., related to the Wealth Management Americas division.

key_organizations:
Deutsche Bank Securities Inc.
Wealth Management Americas


document_description: Business Supervisory Office contact information for Deutsche Bank Securities Inc. and Deutsche Bank Wealth Management in Jacksonville, USA. Includes address and contact details.

document_subtype: business correspondence


document_description: A confidential correspondence from Melisa Venegas at Deutsche Bank Trust Company Americas, part of Deutsche Asset & Wealth Management, located at 60 Wall Street, New York, NY. The document is marked as confidential pursuant to Federal Rule of Criminal Procedure 6(e).

key_organizations:
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management


document_description: Wolfram Lange, Managing Director and Divisional Control Officer at Deutsche Bank Wealth Management, instructs a search for specific phrases in clearance statements and KYC files. The search aims to identify phrases indicating prior approval or senior sign-off in AFC and business onboarding processes.


document_description: Internal memo discussing Jeffrey Epstein accounts to be traded by Paul Barrett from Alpha Capital. Follow-up on a previous discussion with Dan Kaiser.

key_people:
Martin Zeman
Kim
Dan Kaiser
Paul Barrett
Jeffrey Epstein

key_organizations:
Deutsche Bank Wealth Management
DB Securities Inc
Alpha Capital
Southern Financial LLC


document_description: A document related to MiFID II compliance for remaining EEA countries excluding Germany and the UK.

title: MiFID II - Remaining EEA Countries (Excl Germany & UK)

key_people:
Karen Cohen
Sylvia Escobar

document_subtype: Finding Closure Paper


document_description: This document provides an overview of the remediation efforts by the Finding Owner to address a specific finding. It is intended to be completed and uploaded to GFMS with relevant evidence when submitting a closure request. The document outlines the responsibilities of Finding Owners, the need for DCO/ICO review, and the requirement for Group Audit validation. It includes sections on the background of the finding, an overview of remediation actions, reference documents, and an appendix with guidance and timeframes.

document_subtype: closure pack

key_organizations:
DB Group
GFMS
DCO
ICO
Group Audit


document_description: The document outlines the compliance requirements for MIFID II for US WM servicing EEA clients, excluding Germany and the UK. It details the action plans for confirming account scope, determining accounts to retain or exit, and implementing processes for reverse solicitation evidence.

title: MIFID II - Remaining EEA Countries (Excl Germany & UK)

key_locations: EEA Germany UK

key_organizations:
US WM
WM Americas


document_description: The document outlines internal procedures and updates related to EEA clients, including training, control implementation, banker team adjustments, and KOP updates.


document_description: The document outlines the remediation process for existing and new EEA accounts, excluding the UK and Germany. It includes criteria for retaining or exiting accounts, obtaining reverse solicitation evidence, and implementing controls for new accounts. Training and proposed controls for EEA designated bankers are also discussed.

key_locations: EEA UK Germany US

document_subtype: remediation overview


document_description: The document outlines the implementation of new or amended controls for EEA clients/accounts, including approval processes, reverse solicitation controls, and updates to KOPs. It also discusses the proposal for an EEA designated bankers team and confirms the completion of these tasks.

key_people:
AFC
ABR
Business Manager
DBOI
Project Team

key_organizations:
EEA
Sub-GMT
ISG/IWP
Coverage
Middle Office
BSO
TAG Teams


document_description: A table listing closure evidence and supporting documentation related to a remediation finding, as uploaded in GFMS. The table includes columns for file name, GFMS action number, file location, and description of the document.

document_subtype: reference table


document_description: The document provides excerpts from coverage and KYC KOPs related to EEA customers, including sections on MiFID II and cross-border EEA. It outlines requirements for new/amended controls and system changes, including documentation, approval evidence, and sample justification for operating effectiveness.


document_description: A bulleted list detailing criteria for remediation of findings, including control description, owner suitability, mitigation, documentation, policy approval, model change governance, sustainability, communication/training, and system changes.


document_description: This document outlines the sample size required to demonstrate the sustainability of new or amended controls. It includes tables specifying sample sizes based on control frequency and total control occurrences in the last 12 months. The document is intended for internal use and is marked confidential.

title: Sample Size Requirements for Control Sustainability

document_subtype: sample size requirements


document_description: The document outlines the timeframes for closure review procedures and deviations to Group Audit validation requirements based on local regulatory standards. It includes tables detailing the stages of the closure review process and specific requirements for different regulators.

title: Appendix 3 — Closure review timeframes and Appendix 4 — Local deviation to Group Audit validation requirements

key_locations:
China
Taiwan
Singapore
US
South Korea
Ukraine
Hungary
Poland

document_subtype: closure review procedures

key_organizations:
DCO
ICO
GA
CBIRS
MAS
FRB
FSS
NBU
NBH
Polish FSA


document_description: A confidential business correspondence from Sylvia Escobar, Vice President at Deutsche Bank Securities Inc., Wealth Management-Americas.


document_description: This document outlines the monthly review process for 'inflow' transactions above $1M from identified EEA accounts (excluding Germany) to ensure appropriate 'Cross Border Call Note' documentation is available. It includes steps for updating client lists, identifying transactions for review, and verifying reverse solicitation evidence.

title: Monthly Reverse Solicitation Review

key_locations: EEA Germany

key_organizations:
BM Team
DB


document_description: Escalation process for significant inflows in EEA accounts without reverse solicitation explanation. Involves sending emails to business managers and ensuring documentation in dbForce.

key_people:
Armen Brash
Janet Morales
Sylvia Junghardt

key_organizations:
US Onshore
Latam
GAT


document_description: Guidelines for identifying EEA clients and accounts for WM Americas, emphasizing the importance of compliance with regulatory requirements and controls. It outlines criteria for identifying EEA clients based on residency and provides steps for selecting a Primary Decision Maker in KYC processes.

key_locations:
European Economic Area
Germany


document_description: Guidelines for handling EEA customers and scenarios for designating a Primary Decision Maker in customer accounts.

document_subtype: internal guidelines

key_organizations: ABR AFC FO CM


document_description: This document outlines the process for handling non-target lead forms in DB Force, including the need for solicitation status, approval routing, and specific requirements for EEA clients and UK brokerage accounts. It includes a table for additional contact information and detailed steps for obtaining necessary approvals and handling EEA Client Declaration Forms and UK HNWC Exemption Forms.

key_locations:
United Kingdom
Germany

document_subtype: lead form and process instructions

key_organizations:
DB Force
EMEA legal
US Compliance
Account Opening Review Group
ISG Investment Specialists


document_description: Instructions for handling UK HNW Company Exemption tasks and EEA client management, including account opening review and transaction level reverse solicitation requirements.

key_locations: UK EEA Germany US Europe


document_description: A screenshot of a 'Task Edit' form from a software application, including sections for Task Information and Description Information. The form includes fields for Task ID, Name, initiator, and location details, as well as text areas for attendees and comments. Options include buttons for 'Next' and 'Cancel', and a checkbox for sending a notification email. A note about the TEA (European Economic Area) country list is also present.

title: Task Edit Form


document_description: Contact information for Sylvia Escobar, Vice President at Deutsche Bank Securities Inc., Wealth Management-Americas.


document_description: Guidelines for opening Custody, DPM, Deposit, and Trust accounts for EEA clients, including the requirement for a signed 'Reverse Solicitation Affirmation Form'.

key_locations:
European Economic Area
Germany
United Kingdom

document_subtype: account opening procedure


document_description: This document outlines the procedures for handling EEA Client Declaration forms during account opening and re-opening processes, excluding German clients. It specifies the requirements for the form, including the necessity of signatures and the conditions under which accounts can be opened or re-opened. The document also notes the go-live date and the requirement for signature verification from October 1, 2018.

title: Reverse Solicitation Controls (Excluding German Clients)

document_subtype: internal procedure


document_description: Checklist for client account on-boarding under MIFID II regulations, focusing on German clients and specific requirements for DPM & Custody, and account opening restrictions for non-GAT bankers.

title: MIFID II Client Account On-boarding Checklist

document_subtype: checklist


document_description: The document outlines the DBDM rules assignment definition, including various rules for reviewing different types of trading activities. It also provides instructions for updating account settings on NetX360 and removing a specific rule from the Rules Engine on the Pershing mainframe.

document_subtype: rules assignment

key_organizations: BSO Pershing


document_description: The document outlines the process for reviewing NAO-CIP PCS cases, including documentation submission, review by Middle Office, and checking accounts for EEA coding.

document_subtype: process documentation

key_organizations:
Front Office
Middle Office
NetX360
Private Bank


document_description: This document outlines the regulatory and audit requirements for PWM US TAG, including document retention and policy production functions. It is classified as Level 4 and is intended for internal use only.

title: Regulatory and Audit Requirement

key_people:
KP, Manjunath
Thukral, Kanshma

document_subtype: internal document


document_description: This document outlines the review cycle and approvers for a procedure related to Private Wealth Management (PWM) in the USA. It includes details on the review cycle, geographic applicability, and key personnel involved in the review process.

key_people:
LGuiana, Shanu
Laczny, Halina
ewani, Anil
Motwani, Manish
Petzi, Christian
Thukral, Kanshma
Chandwani, Reena
Parashar, Shreya

document_subtype: internal review document


document_description: A system usage notice for IBS INSIGHT, indicating successful logout and instructions to log in again. It includes a warning about monitoring and recording of activities, and a confidentiality notice under Federal Rule of Criminal Procedure 6(e).


document_description: This document provides details about a business checking account, including its opening and closing dates, branch information, and account management details. The account was opened and closed on December 8, 2006, and then reopened on January 9, 2007. It is not a cardholder account and is not enrolled in remote deposit capture.

key_people:
Cynthia Rodriguez
Terri Sohrab

document_subtype: Bank Account Information


document_description: This document appears to be a financial inquiry or account management interface, possibly related to a bank or financial institution. It includes sections for account details, balance and activity, and various types of transaction histories. The document is marked as confidential and for internal use only, with references to federal rules and specific document identifiers.


document_description: This document provides a detailed overview of account balances and activities as of October 24, 2017. It includes ledger and current balances, today's activity, statistical balance information, online and EFT activities, and recent customer transactions.

document_subtype: bank statement


document_description: The document is a webpage screenshot featuring the 'SUNGARD' logo and options to load a browser-based application called Global Plus. It includes references to various financial and security-related terms and is marked as confidential for internal use only.

key_organizations:
SunGard Business Systems LLC
Deutsche Bank


document_description: A browser-based interface for Global Plus, showing options for account inquiries, security inquiries, cash-related activities, trading activities, and month-end activities. It includes a welcome message and configuration options.


document_description: The document contains internal system information including user name, password, computer name, database name, and release number. It is marked as confidential and for internal use only.


document_description: This document appears to be an internal system login or account management interface for a financial or securities operations system. It includes details about the operator, password validity, and system/database information. It is marked as confidential and for internal use only.


document_description: This document provides details about a financial account, including account number, capacity, minor account type, and business processing class. It also lists various dates related to the account's status, such as opened, converted, expected close, funded, anticipated market value, agreement, closed, appointment, and pre-closed. Additionally, it includes information about the count of portfolios and the division, holding company, bank, region, branch, source of business, and acquisition details.

document_subtype: Account Information


document_description: The document appears to be a correspondence related to account inquiries and activities at Deutsche Bank Trust Corporation. It includes details about an individual account, its opening and conversion dates, and affiliations with Deutsche Bank Trust Company Americas. The correspondence involves Caitlin Carey and Gina Sax, with a forwarded message from a scanner.

key_people:
Caitlin Carey
Gina Sax

key_organizations:
Deutsche Bank Trust Corporation
Deutsche Bank Trust Company Americas
Bankers Trust Co


document_description: Instructions for checking sufficient funds in account and related currency portfolio.

document_subtype: internal financial procedure


document_description: This document provides account information for an individual account at Deutsche Bank Trust Company Americas. The account was opened on March 4, 1999, and converted on March 31, 2005. It is classified under the business processing class 'Agency' and is associated with Deutsche Bank Trust Corporation. The account has two principal and two income portfolios. The source of business is not specified, and it was acquired by Bankers Trust Co.

document_subtype: account information


document_description: This document appears to be a screenshot or description of a Salesforce dashboard used by Deutsche Bank Private Bank. It includes various sections such as tasks, ticklers, and cases related to TEAS (Trust Administrative Services) and KYC (Know Your Customer) processes. The document is marked as confidential and for internal use only, with references to specific document IDs.


document_description: A table listing various cases with their subjects, statuses, and date/time opened. The table includes cases related to account opening, exemption requests, compliance, client instructions, and more, with some entries having specific statuses and timestamps.

document_subtype: case list


document_description: A table listing various case subjects related to account maintenance, asset transition, client service, mutual funds, trade settlement, and other financial operations, along with their current status such as 'Signatory Approved', 'Verified', 'Entered', 'Rejected', or 'Killed'.

document_subtype: Task Status Table


document_description: The document appears to be a work queue list from a process portal, possibly related to financial transactions requiring approval. It includes a list of cases with descriptions, approval levels, and timestamps.


document_description: An internal document marked as confidential, related to a Hotscan approval with high priority, opened on October 25, 2017.


document_description: Details of a Deutsche Bank International Custody account associated with Partners, including account opening date, fee event description, and administrative details.

key_organizations:
Deutsche Bank
LEICHT & REIN TAX ASSOCIATES


document_description: The document appears to be a guide or instruction for accessing and verifying signature cards in a document imaging repository. It includes a list of documents related to DB Private Wealth Mortgage Ltd, such as account agreements, authorizations, and miscellaneous documents. The document is marked as confidential and for internal use only.


document_description: A document detailing a cash disbursement wire in USD with an effective banking date of October 20, 2017. It includes a section for force approval and process portal screen for internal use.

document_subtype: wire transfer


document_description: This document outlines the procedure for signatory approval related to bill payments, including guidelines for handling delays and discrepancies in invoice amounts.

document_subtype: internal procedure document


document_description: Instructions for banking officers regarding the processing of cases in the Return to DB office Queue. TAG team approves cases based on Return to DB reason and routes them to signatory approver queue. Second level approvers follow Blind key rules. Cases created by Alan J. Gabel include a template with account number, amount, and effective date. Discrepancies in effective date require a case comment for justification. Amounts must match invoices, with backup attached for variations.

document_subtype: internal memo


document_description: This document outlines the procedures and requirements for handling various account statuses, including Status-E, Inactive/Dormant, T-Post/Y-Post, and Status-7/AIF. It specifies the approval process for exceptions and the conditions under which accounts can be activated or transactions approved. The document also references compliance with the German Bank Separation Act and US Volcker Rule, emphasizing no overdraft policies.

key_people:
Halina Laczny
Kathryn J Stanfield
Enid Ellis
Roxanne Scott
Lillian Torres
Yvette Tirrito


document_description: Instructions for processing wire transfers, including checking Swift codes, decoding IBAN, and matching account details with attachments. Specifies description codes and payment document fields based on routing number format, and conditions for manual processing and overdraft override reasons.

document_subtype: wire transfer instructions

key_organizations: Swift XE


document_description: This document outlines the procedures for processing and approving payment transactions, including the completion of a Release Payment Template, obtaining necessary approvals, and routing transactions for final approval. It also details acceptable forms of documentation for transaction verification and specific instructions for using DocuSign.

key_organizations: DBOI TEAS TAG LatAm Trust Custody


document_description: Instructions for handling client signatures, DocuSign options, and exemptions for booking centers. Includes guidelines for verifying signatures, using DocuSign, and handling exempt transactions. Emphasizes segregation of duties and callback procedures.

document_subtype: fax and letter instructions

key_organizations:
TAG
DBOI
DB Force
Pershing Account


document_description: This memo outlines the procedures for handling emails with PDF attachments as faxes, the requirements for attaching emails for validation, and the rules for forwarding emails and performing callbacks. It also details the creation of list mailboxes for client instructions and the protocol for handling emails when a banker is out of office.

key_people:
Dana Zook
Janet Sible
Valerie Oconnor
Daniel Kay
Israel Velasquez
Mayra Fonseca
Melissa Clark
Susan Burnett
Joe
Keith

document_subtype: memo

key_organizations:
DBPrivateBankChicago
Teamburnettpwmla
TAG team


document_description: The document outlines exemptions from FIRM Rules for transactions involving same-name and same-signer transfers, including joint and sole accounts and DB Loan Payments. It details procedures for exempt phone calls, emails, and faxes, as well as gift account transfer procedures. Approval requirements and case types for securities transfers are also specified.

key_people:
Mary Keaveney
Jennifer Barker
Lisa Combatti
Robert Deffense


document_description: Wire transfer details for a cash disbursement from State Street - Cash Services to a Private Bank in the USA.

document_subtype: Wire Transfer

key_organizations:
State Street - Cash Services
Deutsche Bank Trust Company
Private Bank


document_description: Instructions for case disbursement involving money transfers from DB to external entities via ABA#, Swift, Chips, and Ach. Includes specific instructions for AMEX and CHASE payments, and guidelines for cash disbursement checks. Emphasizes the need for original letters for instructions and specific comments for processing.

document_subtype: disbursement instructions

key_organizations:
CHASE MANHATTAN BANK
JP Morgan Bank
AMERICAN EXPRESS
Chase CaroServices
Chase Bank USA


document_description: Instructions for handling check disbursements and stop payment procedures for Banking and Global plus accounts. Includes reasons for returning to DB office and guidelines for stop payment on banking checks.

document_subtype: instructions

key_organizations:
DB Office
Trust Group
Latam Group


document_description: Document outlines procedures for handling personal checks and stop payment requests. It includes types of checks, types of stop payments, verification processes, and special conditions for stop payments.

document_subtype: banking procedures

key_organizations: Metavante TAG


document_description: The document outlines procedures for verifying debit account balances, fund deadlines, and fund names for buy and sell cases. It includes a list of mutual funds with their respective cut-off times. Special notes mention the closure of certain fund numbers effective April 11, 2016, and instructions to reject trades for these funds if received by mistake.

document_subtype: mutual fund list


document_description: A table listing various DWS and Deutsche managed funds with their identifiers and trading times. Includes guidelines for mutual/hedge fund trading and internal policy checks.

document_subtype: financial table

key_organizations: DWS Deutsche


document_description: The document outlines procedures and restrictions for trading and transferring securities, particularly focusing on custody accounts and EEA retail clients. It specifies conditions under which trades can be executed, especially for German and non-German clients, and highlights the need for documentation and verification in certain cases. It also mentions internal security transfers and the prohibition of buying mutual funds or ETFs for custody accounts.

key_organizations:
TAG
US WM
WM Germany
State Street


document_description: This document outlines the procedure for transferring securities from a Global plus account to another institution or Global plus account. It includes HRM policy applicability, check points for verifying securities, market value, and exemptions for internal transfers. It also details fee setup and maintenance for Global plus accounts.

document_subtype: Securities Transfer

key_organizations:
Global plus
DB Alex Brown


document_description: The document outlines approval requirements and procedures for different types of accounts (IA, GIM, GAT, Trust, Custody) regarding fee setups and maintenance. It specifies the necessary approvals, exceptions, and special points for handling fees, including charge dates and verification processes.

key_people:
Jennifer Barker
Mary Keaveney
Robert Deffense
Kevin Brodbeck
Oliver Esslinger
Deepak Puri
David Wolkenbrod
Edward Golden
Paul Bett

document_subtype: policy memo

key_organizations:
TAG
AOG
ATNT Team


document_description: Internal guidelines for processing phone, fax, and email changes for client accounts. Includes verification steps for TAG team, signature verification, and exception handling for Global plus accounts.

key_organizations:
TAG
DB Force
Metavante


document_description: This document outlines the requirements for various banking account requests, specifying when a client letter is required and when it is not. It includes procedures for wire recalls, standing instructions, stop payment reversals, IFMS setup, wire amendments, wire tracers, checkbook orders, debit authority, charge reversals, check copies, ACH details, account statements, credit ACH processes, transaction inquiries, Fed reference number requests, overdraft fee waivers, and overdraft violation removals.

document_subtype: Customer Research Request Form


document_description: Instructions for handling card replacement, PIN updates, and transaction limits for ATM/Debit cards. Includes procedures for verifying instructions, address checks, and requirements for PIN delivery.

key_organizations:
TAG team
Metavante


document_description: This document outlines the default daily transaction limits for debit card transactions, including ATM cash withdrawals, purchases using PIN, cash advances, and purchases without PIN. It also details the procedure for clients requesting an increase in these limits, including necessary approvals and notifications.

key_people:
Charlie Burrow
Andrew Gallivan
Patrick Harris
Armen Brash
Arthur Tremblay

document_subtype: bank policy document

key_organizations:
Anti-Money Laundering (AML) Team
Deposit Product Management


document_description: This document outlines the rules and procedures for trading fixed income and equity securities, including verification of CUSIP and holdings, account restrictions, and approval processes. It also covers specific rules for German and non-German clients regarding custody accounts and accommodation trades.

key_people:
Jennifer Barker
Lisa Combatti
Robert Deffense

key_locations: US Germany

key_organizations:
DB Asset Management Group
DB Alex Brown
Deutsche Bank Wealth Management US


document_description: This document details a money transfer operation involving a non-bank instruction type. The principal cash amount is $52.37, transferred out from a State Street Bank account in Massachusetts, USA. The beneficiary is Dina Kuimova, with instructions to apply the amount to the Over & Short account due to a loss.

key_people:
Dina Kuimova
Nitin-X Singh

key_locations:
Massachusetts
United States of America

document_subtype: Money Transfer

key_organizations:
State Street Bank
GTO-Banking


document_description: This document contains a table of bank account details for various currencies, including USD, EUR, GBP, AUD, MXN, CHF, JPY, NOK, CAD, NZD, SEK, and TRY. It lists the bank names, SWIFT codes, account names, and account numbers for Deutsche Bank and other associated banks.

key_locations: London Frankfurt Melbourne Zurich Tokyo Oslo Wellington Stockholm Istanbul

document_subtype: bank account information

key_organizations:
Deutsche Bank AG
Deutsche Bank Trust Company Americas
National Australia Bank
Banco Santander Serfin S.A.
Credit Suisse
Den Norske Bank
Royal Bank of Canada
ANZ Banking Group
Skandinaviska Enskilda Banken


document_description: The document contains SWIFT codes, account numbers, and bank details for various international transactions involving Deutsche Bank and other financial institutions. It includes details for transactions in currencies such as ZAR, HKD, DKK, PLN, SGD, THB, USD, EUR, and GBP. The document is marked as confidential and for internal use only.

key_locations:
Johannesburg
Hong Kong
Copenhagen
Warszawa
Singapore
Bangkok
London
Frankfurt
Boston

key_organizations: State Street Bank and Trust Company London


document_description: The document contains bank account details for various currencies, including AUD, MXN, CHF, JPY, NOK, CAD, NZD, SEK, and TRY. It lists the corresponding banks, BIC codes, and account names for each currency.

key_locations:
Sydney, Australia
Mexico
Zurich, Switzerland
Tokyo, Japan
Norway
Canada
Wellington, New Zealand
Sweden
Turkey

key_organizations: State Street Bank - Trust Co, Sydney, Australia

key_organizations: Bank of Tokyo-Mitsubishi Ltd., Tokyo, Japan


document_description: The document contains bank account details for various accounts in different currencies and locations, including Johannesburg, Warsaw, Hong Kong, London, and Tel Aviv. It includes BIC codes, cash account numbers, and FFC references.

key_locations:
Johannesburg, Republic of South Africa
Warsaw, Poland
Hong Kong
London
Tel Aviv, Israel

key_organizations:
Standard Corporate and Merchant Bank
State Street Bank Trust Company
Bank Handlowy w Warszwwie S.a.
Hongkong Shanghai Bank
United Overseas Bank Limited
Skandinaviska Enskilda Banken AB
Bank Hapoalim, B.M.


document_description: Instructions and guidelines for hedge fund transfers from Deutsche Bank's suspense account or general ledger. Includes wire instructions for SAP EOD purchase wires and exchange of existing hedge funds.

document_subtype: hedge fund transfer instructions

key_organizations:
Deutsche Bank
State Street Bank
Deutsche Asset Wealth Management


document_description: This document contains instructions for money transfers related to FATCA withholding, created by the Non-Traditional Group. It includes details about the DB account, effective dates, and bank details for the Bank of New York.

document_subtype: Money Transfer Instructions

key_organizations:
Non-Traditional Group
Bank of New York


document_description: Wire transfer instructions for DBTCA Backup Withholding Tax (945 Tax Return) to IRS for Year 2015. Includes sweep wire and fees instructions involving Deutsche Bank and State Street Bank.

key_locations:
New York, NY
United States of America

document_subtype: wire transfer instructions

key_organizations:
Deutsche Bank New York Branch
State Street Bank


document_description: The document outlines procedures for handling client documentation and business management approval emails related to provisional credit amounts, interest amounts, and overdraft fees. It specifies the requirements for approving cases, including matching amounts and necessary documentation. It also details the process for handling overdraft fees, check/deposit item returns, and error and claims processes. Special instructions are provided for ACH wire transactions and overdrawn fee reversals.

key_organizations: TAG BLM DBOI


document_description: The document outlines procedures for handling overdraft fees and business internet banking cases. It specifies when BLM approval is required for fee waivers and details the approval process for business internet banking cases with insufficient balances. It also lists scenarios where a Letter of Authorization (LOA) is not required and when it is necessary for banking online account setup.

key_people: BLM TAG

document_subtype: internal memo


document_description: Fax discussing account code changes and necessary approvals for GIM, GPM, Trust, and IA accounts. Includes internal approval processes and confidentiality notice.

key_people:
Kevin Brodbeck
Deepak Puri
Oliver Esslinger
Jennifer Barker
Robert Deffense

document_subtype: fax

key_organizations: GAT GIM GPM ORM


document_description: Internal memo outlining the process for account name changes for Global plus and Banking accounts. The TAG team checks documents with KYC, then sends an email to the COB team for validation. After ABR approval, the COB team informs the BSO/TAG team that changes are validated and approved. The TAG team then approves the case for further processing by State Street or Banking AOG team.

key_organizations:
TAG team
COB team
BSO/TAG team
State Street
Banking AOG team


document_description: The memo outlines procedures for updating memo field requests, specifically adding event termination dates. It includes instructions for handling investment authority change requests, detailing the roles of specific team members and the types of accounts involved. The memo emphasizes the need for client signatures on various documents and specifies the internal processes for handling discretionary and non-discretionary accounts.

key_people:
Lisa Combatti
Jennifer Barker
Robert Deffense

document_subtype: memo


document_description: Guidelines for account management changes and approvals within a financial institution, including specific instructions for handling changes in investment authority, client status, and account codes.

key_people:
Lisa Combatti
Jennifer Barker
Halina Laczny
Kathryn J Stanfield
Lillian Torres
Yvette Tirrito
Enid Ellis
Roxanne Scott


document_description: This document outlines internal policies for managing various account actions such as reopening accounts, changing rate types, removing inactive status, and closing accounts with U status. It specifies the approval requirements and verification processes for each action.

title: Internal Account Management Policies

key_people:
Charlie Burrows
Anthony Western
Robert Dicerbo
Arthur Tremblay

document_subtype: internal policy table

key_organizations: AOG SPG TAG


document_description: This document outlines the process for handling cash sweep changes for EEA retail clients, including required forms and exceptions.

document_subtype: internal process document


document_description: This document outlines the procedures for scheduling and maintaining remittance events, including setting up new standing instructions, modifying or deleting events, and handling payee changes. It specifies the requirements for client verification, acceptable forms of communication, and necessary documentation.

title: Remittance Event Procedures

document_subtype: internal procedure


document_description: The document provides instructions for handling stop/skip payments and scheduled remittance transfers between Global Plus accounts. It includes guidelines for verifying client signatures, checking account statuses, and ensuring remittance details are correctly set up.

document_subtype: Remittance Instructions


document_description: Instructions for disbursing cash from a Global plus IRA account via wire, ACH, or check, and transferring funds between Global plus accounts. Includes details on payment frequency, event type, and required documentation.

document_subtype: IRA Remittance and Transfer Instructions

key_organizations:
State Street
Deutsche Bank


document_description: This document outlines the setup process for new statement events for existing accounts, including the necessary supporting documents and process details. It specifies the use of letters of instruction signed by clients and the verification of signatures. The document also includes a table with case names, uses, HRM rules applicability, supporting documents, process details, and notes.

title: Statement Case Setup for Existing Accounts

document_subtype: internal statement case setup


document_description: Internal memo regarding the modification or deletion of an event, requiring a letter of instruction signed by the client with verified signature. It includes instructions for checking the validity of event numbers and client IDs, and mentions conditions for trust accounts.


document_description: This document outlines basic policies and procedures for handling E-Status accounts and standing instructions. It includes guidelines for accepting original faxes, handling banned accounts, and verifying standing instructions in DB Force.

key_people:
Halina Laczny
Kathryn J Stanfield
Lillian Torres
Yvette Tirrito

key_organizations:
TAG
SPG
DB Force


document_description: The document outlines various procedures and approval requirements for financial transactions, including standing instructions, signature verification, trust accounts, exception requests, overdraft approvals, transaction amount breakdowns, and tax payment rules.

key_people:
Zia Zemori
Amy Honk
Diana Canter
Matthew Schaefer
Mikal Ison
Patrick Harris
Armen Brash
Mary Keaveney
Lee Hutter
John B. Walsh
Nicholas Haigh
Carl Jackson
Gaston Alegre
Troy-D Williams
Roddy Moore
Andrew Xu
Tiffany Ausby-Frazier
Tom Hoddinott
John C Gibson
Paul Salvas
Hillary Hastings
David Wolkenbrod
Edward Golden
Paul Betts

key_organizations:
BSO
SPG Team
CRM team
TNP Team


document_description: The document outlines procedures and requirements for setting up new client IDs, handling financial transactions under the Volcker Rule, and processing various types of transactions by the TNP group. It includes specific instructions for tax payments, non-financial changes, adding EIN/SSN, transfers to internal suspense accounts, and TNP disbursements related to oil/gas/real estate maintenance payments.

key_organizations:
Global Plus
TAG
BLM
CRM
TNP
State Street
Fast Tax


document_description: The document contains a table classifying imaging fields based on various case types such as Address Change, Free Delivery, Trading Support, etc. It also outlines an escalation process for TAG's procedures.

document_subtype: classification table

key_organizations:
DBOI PWM
Client Services Onshore


document_description: The document outlines the High Risk Media Policy for financial and non-financial transactions, detailing the procedures for transaction approval, especially when dealing with high-value transactions. It includes guidelines for transaction approvers to ensure compliance with control or policy requirements, and specifies actions based on transaction amounts and recipient details.

title: High Risk Media Policy

key_people:
Armen Brash
Mary Keaveney
Ron Colonna
James (Jim) Donofrio

document_subtype: policy document


document_description: The document outlines scenarios and controls for splitting payments, including exceptions and approval requirements for large transactions. It specifies conditions under which Letters of Authorization (LOA) and approvals are needed for fund transfers, particularly focusing on transactions exceeding certain thresholds. The memo also details exceptions for transactions between same-name accounts and exempt communication methods.

key_organizations:
US Department
TAG team
BSO
SPG team


document_description: This document outlines the Level 2 approvers for various product teams within the organization for security transactions of 10MM and above. It specifies the approvers for Custody, Premium Banking Services Group, Discretionary Portfolio Management (DPM), and Trust. Each team is responsible for implementing their own KOPs for the process.

key_people:
Barry Morris
Scott Guest
Michael Lantz
Anthony Western
Arthur Tremblay
Charlie Burrows
Daphne Cales
Lisa Combatti
Oliver Esslinger
Mary Keaveney
Deepak Puri
David Wolkenbrod
Paul Betts
Edward Golden
Andrew Gallivan


document_description: The document outlines financial instructions for handling transactions, including checks, free delivery, and wire transfers. It specifies procedures for different transaction amounts, internal transfers, and standing instructions. It emphasizes the need for signature verification, callbacks, and documentation of telephone instructions. The document is marked as confidential and for internal use only.

title: High Risk Media Policy Deutsche Wil Americas, USA, Private Back

document_subtype: financial instructions


document_description: This document outlines the High Risk Media Policy for Deutsche Bank Wealth Management in the Americas, specifically for the USA Private Bank. It includes procedures for various account changes and transactions, such as investment strategy changes, account tax ID changes, address changes, phone number changes, remittance instructions, account closing, checkbook orders, external affiliation changes, change of country of residence, and account name changes. The document specifies the need for original signatures, callbacks, and other verification steps for these transactions. It also mentions the requirement for a Letter of Authorization and completed Callback Sheet for certain transactions.

title: High Risk Media Policy - Deutsche WM Americas, USA, Private Bank

key_locations: Americas USA


document_description: The table outlines various requests from a beneficiary bank regarding wire transfers, including information on the remitter, international government ID, beneficiary's date of birth, reason for payment, IBAN number, and actions related to wire recalls and non-receipt claims. The table indicates that these requests can be addressed via email, phone call, or fax.


document_description: Internal instructions for handling event changes and setting up new statement events for new accounts. Requires letter of instruction signed by client and signature verification. Call back required for fax instructions regardless of amount.

document_subtype: internal instructions


document_description: The document outlines procedures for setting up new statement events for existing accounts and adding or deleting recipients. It includes instructions for verifying client signatures and requirements for fax communications, especially in the context of trust accounts.

document_subtype: instruction letter


document_description: The document is a table listing various financial transactions related to security and cash disbursements and receipts, specifically for internal security transfers, mutual/hedge fund trading, and cash transactions. It includes details on transaction types and their categorization under security transactions and global plus financial cases.

document_subtype: financial

key_organizations:
G+
Global Plus


document_description: A table listing various financial transactions and their respective categories, cases, and deadlines for processing.

document_subtype: financial transactions schedule

key_organizations:
Global Plus
Banking


document_description: This document outlines the schedule for various banking and financial operations, including non-financial cases, global plus financial cases, and trading support activities. It specifies the time for each operation, typically at 05:30 P.M., with exceptions for certain cases where the settlement or charge date is the same day.

title: Banking and Financial Operations Schedule

document_subtype: internal operations schedule


document_description: The document provides an escalation matrix for onshore and DBOI processes, listing key personnel at different escalation levels for the TAG process.

title: Escalation Matrix

key_people:
Halina Laczny
Dawn Forbes
Carmen Diaz
Shanu Gujaria
Anil Tewani
Manish Motwani

key_organizations: TAG DBOI


document_description: The document outlines a system access permissions framework to prevent unauthorized activities by ensuring users can only have one of three profiles: Input (Front Office), Approvals (TAG), and Processing (Banking & COB team). It includes a table showing which teams have access to specific system functions.

document_subtype: system access permissions

key_organizations:
WM
TAG
Banking
COB team
DBOI


document_description: The document outlines access restrictions for the TAG team and other teams related to various financial processes and systems. It specifies what actions each team can and cannot perform, particularly focusing on data input, verification, and transaction authorization. It also mentions the need for regulatory approval for changes to procedures.

document_subtype: internal memo

key_organizations: Wealth Management Business line Compliance


document_description: A document related to document retention with a reference link to an internal database. Marked as confidential and for internal use only.

key_organizations: STARC DB


document_description: This document is a checklist from Deutsche Bank, detailing various actions and items related to mutual fund batches, banking checks, non-USD cases, and other financial cases. It includes columns for actions, item names, descriptions, functions, sub-functions, and checklist details. The document is marked as confidential and for internal use only.

title: Deutsche Bank Checklist

document_subtype: checklist


document_description: A daily automated report distributed to the Middle Office to ensure that EEA brokerage accounts are serviced on a reverse solicitation basis. It contains four worksheets addressing discrepancies in EEA coding between dbForce and NetX systems, and checks for compliance with UK HNW Company exemptions.

title: Daily Middle Office Exception Report

key_locations: EEA UK

document_subtype: report


document_description: Due to the suspension of the code delivery for interdivisional KYC attestation process, WM clients will be onboarded onto GM platforms directly. The business is required to outline the issues and remediate the risks attached. Absent of remediation puts the business at risk for not meeting some of the Compliance and AFC requirements. The remediation plan needs to be created and attached.

key_people:
Funda Bozkurt
Victoria Bruce
Thomas Klemm
Kimberly Hart
Puzant Merdinian
Steven Mattus
Olivier Poncet
Ian Salters
Andrea DeMar
Bill King
Jeffrey Roth

document_subtype: memo

key_organizations:
Deutsche Bank Trust Company Americas
WM-Divisional Control Office


document_description: This document outlines areas of specific review for clients with an increased likelihood of error in judgment compared to Wealth Management (WM) risk appetite. It includes criteria for identifying such clients, data sources for information gathering, and the likely population affected.

title: Review of clients with increased likelihood of error of judgement vs. WM risk appetite

document_subtype: review

key_organizations:
Deutsche Bank
Wealth Management


document_description: An internal memo from Deutsche Bank Wealth Management discussing the role of negative media in the context of lifecycle controls for new clients, adoption, event-driven reviews, regular reviews, source of wealth, source of funds, transaction monitoring, and account behavior. It highlights the challenges in assessing negative media, such as determining the reality and completeness of allegations, political motivations, and the risk appetite for negative news.


document_description: Know Your Customer (KYC) document for Southern Financial Relationship managed by Stewart Oldfield at Deutsche Bank. The document includes relationship details, account information, and client introduction details related to Jeffrey Epstein.

title: DB PWM GLOBAL KYC/NCA: PART A

key_people:
Stewart Oldfield
Jeffrey Epstein
Karyna Shuliak

document_subtype: KYC Document

key_organizations:
Deutsche Bank
Butterfly Trust
Neptune LLC


document_description: This document is an account opening summary for a checking account under the names █████████ & Karyna Shuliak-███████ DDA, managed by Stewart Oldfield. The account is intended for daily expenses with expected inflows and outflows of 2-6 transactions per month, ranging from $1 to $2000. The expected volume of assets is $24,282.99 USD both 90 days and one year after opening. The document also lists Karyna Shuliak as a related party to the account.

key_people:
Karyna Shuliak
Stewart Oldfield

document_subtype: Account Opening Summary