EPSTEIN
page 1 / 608 . OCR, unverified
Dataset10 063
--- SOURCE: IMAGES__0063__EFTA01399044.txt ---
METADATA_SOURCE: IMAGES0063
METADATA_FILENAME: EFTA01399044.pdf
----------------------------------------
Subject: FW: Market Purit Work Sho [C]
From: Oliver Esslinger
Date: Mon, 14 May 2018 13:54:38 -0400
To: Armen Brash
Julie Cataudella
Cc: Kimberly Hart <SS>,
zia Memon ‹
>
Classification: Confidential
Hi Armen/Julie:
Before I reach out to Sub GMT heads or similar I thought I'd start with you
to review USO population in scope for market purity.
As discussed earlier today in our work shop (Armen, I can debrief you
offline) please find enclosed universe of "impure" data (249 clients) asking
you to review and provide feedback in excel template columns V-X using
enclosed legend as reference as guidance.
I already cross referenced to previous PCS or other files you shared with
only one match.
Besides the impurity based on UBO domicile Metric 1 (column T) we also
tracked Metric 2 aka RM covering more than 10 jurisdictions in column S with
the following outcome highlighting Mary Ann (9 close to threshold put still
"pure" ) and Terrence (11).
If needed please discuss with Andrew to get some confirmation in terms of
target market coverage as well
Please contact me for any questions, otherwise kindly try to provide me back
with high level feedback by end of this week.
Thank you
Oliver
Legend:
Outcome Status Rationale
For review Under review with BC Resolution workshop free text
Remediation Global Escalation (if required)
Accepted impurities Not started
Closure In progress
Completed
No further actions
In progress of correcting
Exit client
Move client
EFTA01399044
--- PAGE 2 ---
Oliver Esslinger
Director I COO
Head of Business Integrity Americas
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas
Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA
Tel.: +1 (212) 454-0439
Fax: +1 (646) 690-1201
Email:
www.deutschewealth.com
From: Oliver Esslinger
Sent: Monday, May 14, 2018 9:08 AM
To: Kimberl Hart a;
Sheffali Welch
>; Julie Cataudella <
>; Janet
Morales <a;
Andrea DeMar
Clemence-
Loupil
; zia Memon <a>;
Lauryn
Hart
; Saleha Bilal a;
Brian H
Heidelbach <
; Ana-Marie Callangan
; Stephan Wessels <
; Sylvia
Junghardt
Cc: Carl-von Tippelskirch <
Subject: RE: Market Purity Work Shop [C]
Classification: Confidential
Dear all:
Please find enclosed deck for our 10am work shop, hand outs will be provided
to those attending in person at 345 Park.
Best
Oliver
Oliver Esslinger
Director I COO
Head of Business Integrity Americas
Deutsche Bank Wealth Management
Deutsche Bank Trust Company Americas
EFTA01399045
--- PAGE 3 ---
Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA
Tel.: +1 (212) 454-0439
Fax: +1 (646) 690-1201
Email:
www.deutschewealth.com
Original Appointment
From: Oliver Esslinger
Sent: Monday, May 07, 2018 4:42 PM
To: Oliver Esslinger; Kimberly Hart; Sheffali Welch; Julie Cataudella; Janet
Morales; Andrea DeMar; Clemence-J Loupil; zia Memon; Lauryn Hart; Saleha
Bilal; Brian H Heidelbach; Ana-Marie Callangan; Stephan Wessels; Sylvia
Junghardt
Cc: Carl-von Tippelskirch
Subject: Market Purity Work Shop
When: Monday, May 14, 2018 10:00 AM-11:00 AM (UTC-05:00) Eastern Time (US &
Canada).
Where: 345 Park Avenue, conf room 2404, conf call dial in US: 877 329 6902 ;
int'l: +1 (647) 252 8995, code: 24540439#
EFTA01399046
--- SOURCE: IMAGES__0063__EFTA01399047.txt ---
METADATA_SOURCE: IMAGES0063
METADATA_FILENAME: EFTA01399047.pdf
----------------------------------------
Subject: Managed Exit account handling
From: Oliver Esslingen
Date: Thu, 30 May 2019 11:36:52 -0400
To: Ian Salters e,
Funda Bozkurt
Bill King
Kimberly Hart S,
Janice Franklin
Maria Pedulla
Term
Definition
PA Checks/Review
Review of client account activity to establish
open obligations which prevent offboard
Managed Exit
A process state for client entities identified for
offboarding but have open obligations which prevent process completion
Notification
The process of sending a client notification to terminate
the contractual relationship at the end of a defined notice period
In Closure
The process of closing DB transactional system accounts
representing the impacted client entity
Offboarded
A count of client entities which have completed all
offboarding process stages, and are inactivated through to KYC Records -
classified as 'Full' Offboard when evidenced, complete removal of client
entity from all businesses & jurisdictions inclusive of all tech platforms.
Applied to all DB adoption entities globally.
Below is how the CIB process works:
The client is marked to be Off-Boarded but cannot be as there is an
outstanding obligation (i.e. loan or position) with the client
Client has been deemed to be KYC relevant by Business
Managed Exit team searches in paid/public sources for the 4 below
attributes
Proof of Existence
Legal Representatives