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Privacy of communications
In order to monitor compliance with legal and regulatory obligations and our policies, procedures and
compliance programs, we may review emails and instant messages passing through our IT systems
(including any personal data and customer information they contain), and record telephone calls
routed via our telephone systems. We will only do so in accordance with local laws and regulations. In
some countries please refer to your local DB website for a copy of our Privacy Policy.
Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures.
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From:
Cynthia Rodriguez I
Sent:
3/16/2018 4:07:09 PM
To:
Matthew-1 Purcell
Subject:
RE: Missed conversation with Matthew-J Purcell
Yesterday's issue was for Jefferies SRI Fund GP LP I believe. They have so many similarly named
accounts. Lina was reviewing the case and might know the complete name. I am currently out of the office.
Sent with BlackBerry Work
(www.blackberry.com)
From: Matthew-J Purcell
Date: Friday.
Friday. Mar 16. 2018, 4:05 PM
To: Cynthia Rodriguez
Subject: RE: Missed conversation with Matthew-J Purcell
do you remember the client by any chance? KYC number? I will search for it
Matthew Purcell
Assistant Vice President I AML Compliance
Deutsche Bank
Wall Street. 1C005-2836 New York. NY. USA
Tel 1
Email
From: Cynthia Rodriguez
Sent: Friday, March 16, 2018 4:04 PM
To: Matthew-1 Purcell <matthew-j.purcell@db.com>
Subject: RE: Missed conversation with Matthew-1 Purcell
Hi Matthew,
It should be attached in the recently approved case. Since this case was submitted for review prior to the certificate
expiring, would you please accept it or provide an alternative item that will be accepted? Our client will close this
account if we go back to request an updated one. We just dealt with this yesterday on one of their other accounts.
Yoonsun was very helpful.
Sent with BlackBerry Work
(www.blackberry.com)
From: Matthew-1 Purcell
Date: Friday, Mar 16, 2018, 3:41 PM
To: Matthew-J Purcell a,
Cynthia Rodriguez
Subject: Missed conversation with Matthew-1 Purcell
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Matthew-1 Purcell 9:01 AM:
Hello Cynthia
Cynthia Rodriguez 9:01 AM:
hello matthew
Matthew-1 Purcell 9:01 AM:
How are you?
Cynthia Rodriguez 9:01 AM:
1O1
good and you?>
Matthew-1 Purcell 9:01 AM:
I am working on KYC 1850140
good.
By any chance do you have the escalation email and clearance to Rep Risk
Kimberly Hart
Matthew-1 Purcell 9:08 AM:
I can send it back and you can upload it when they come back if you dont have it
Cynthia Rodriguez 9:10 AM:
sorry was on a call one sec
yesss i have the rep risk approvalIll
ill send it over now
they agreed to continue the relationship but make him high risk going forward to monitor him
Cynthia Rodriguez 9:19 AM:
im hoping it just gets approved causeeeeee
my last day at the firm is 3/21
(u)
Matthew-1 Purcell 9:21 AM:
Congrats to you!
and sad to hear because you're very good
Cynthia Rodriguez 9:22 AM:
thank youuuuu
It's a really good opportunity and in the compliance field so even better
Matthew-1 Purcell 9:22 AM:
that's a good field to be in
Cynthia Rodriguez 9:24 AM:
it certainly is....especially when they've beat me to a pulp with kycs here hahahaha
Matthew-1 Purcell 9:24 AM:
:D:D:D
Matthew-1 Purcell 10:45 AM:
just to confirm the rep risk approval was obtained on 03/07/2018?
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Cynthia Rodriguez 10:45 AM:
yupp
Matthew-1 Purcell 10:45 AM:
thank you
Matthew-1 Purcell 10:50 AM:
approved
Cynthia Rodriguez 1222 PM:
resubmitted guardian for you
let me know if i missed anything
Matthew-1 Purcell 9:03 AM:
hey
Cynthia Rodriguez 9:56 AM:
heyyy
Matthew-1 Purcell 1:20 PM:
Hey sorry to bother you but the TIN # for The Caterpillar Trust 2017 is an individuals
can you provide me with the correct TIN and i will update it right away
Mi.
1:26 PM:
Matthew-1 Purcell 3:39 PM:
hey
can you provide me with the certificate of good standing for !NG Barings Global Leveraged Equity Plan Ltd.
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