The document discusses the framework for 'Client-to-Client' transactions within AWM, highlighting the lack of due diligence and professional involvement in these deals. It introduces a new framework for linking KCP clients and outlines the internal review and approval process, including the use of a KCP Client Exemption List and the role of the Suitability & Appropriateness Committee.
documents/vol00010-efta01460569-pdf.pdf
{"title":"AWM Client Referred Deals","document_type":"correspondence","document_subtype":"internal memo","key_organizations":["AWM","KCP","Deutsche Asset & Wealth Management"]}