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ice Franklin Subject: RE: EEA Client Notation in dbForce Date: Tuesday, November 27, 2018 5:44:31 PM Attachments: IMMOVZINICI imag e003 ono Hi Sylvia, Yes, I have facilitated training for ABR. Moreover, we have added this to our broader training framework that all new joiners will go through (ABR
ll, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia CONFIDENTIAL - PURSUANT TO FED. R.
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From: To: Derek St-Hilaire Subject: Date: Attachments: Hi Sylvia, Yes, I have facilitated training for ABR. Moreover, we have added this to our broader training framework that all new joiners will go through (ABR
ll, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia *Sylvia Escobar Vice President D
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Subject: Date: Attachments: RE: EEA Client Notation in dbForce Wednesday, November 28, 2018 9:20:43 AM image004.png image003.png Good morning Sylvia: Hope all is well. Have you identified any KYCs where a primary decision maker was not identified? As previously stated in the October 17th call, A
ll, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia *Sylvia Escobar Vice President D
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Jeffrey Epstein
PERSON27 w/ Sylvia·3 w/ the
SE
Sylvia Escobar
PERSON13 w/ Sylvia·3 w/ the
Wealth Management-Americas
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Baltimore
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Deutsche Bank Securities Inc.
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Martha Stewart
PERSON5 w/ Sylvia·2 w/ the
Stewart Oldfield
PERSON4 w/ Sylvia·2 w/ the
JF
Janice Franklin
PERSON3 w/ Sylvia·3 w/ the
DS
Derek St-Hilaire
PERSON3 w/ Sylvia·3 w/ the
Jacksonville
LOCATION2 w/ Sylvia·3 w/ the
BG
Bradley Gillin
PERSON2 w/ Sylvia·2 w/ the