This document outlines the guidelines for Relationship Managers (RM) and Investment Advisors (IA) at Deutsche Bank Wealth Management to review certifications provided by account holders and ultimate beneficial owners (UBOs) as part of the Client Risk Program. It includes considerations for potential tax evasion and the process for affirmation and escalation.
documents/vol00010-efta01345258-pdf.pdf
{"title":"Client Risk Program - Affirmation and Escalation Guideline","key_people":["Relationship Manager/Investment Advisor"],"document_date":"2016-05-19","document_type":"financial","document_subtype":"Client Risk Program Guideline","key_organizations":["Deutsche Bank Wealth Management","Gratitude America"],"reference_numbers":["WM167634 023496.031516","DB-SDNY-0031499","SDNY_GM_00177683","EFTA01345258"]}