Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue. 10154-0004 New York, NY, USA Tel. «1 212 454-6439 Fax +1 646 736-0695 Email amanda [email protected] Passio-wir Ampon. Securities offered through Deutsche Bank Securities Inc. From: Melisa Venegas Sent: Monday, March 07, 2016 10:49 AM To: Amanda Kirby; Mildred Hernandez Cc: Paul Morris; Armen Brash Subject: ACTION REQUIRED: Issue related to ACUs [I] Classification: For Internal use only All, As you may know, per the AML Procedures manual, certain clients are excluded from ACUs. An issue has been identified in dbforce where High Risk clients are given an ACU Auto Exemption for Retail Banking, however, per Policy, this exception does NOT apply to High Risk clients. Unfortunately, the code in dbforce is exempting high risk clients with only deposit accounts under $250K from the ACU when it should not be—the code will be fixed, but in the meanwhile, while the ACUs listed below don't appear as overdue, they must be completed. GCIS Customer n Customer Name JEGE, LLC WE, LLC Relationship SOUTHERN FINANCIAL RELATIONSHIP SOUTHERN FINANCIAL RELATIONSHIP PO Paul Morris Paul Morris Please let me know if you have any questions and please let me know when this has been completed. Thank you. Regards, Melisa Venegas Deutsche Bank Wealth Management 60 Wo11 Street, 10005-2836 New York, NY, USA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0056885 CONFIDENTIAL SDNY_GM_00203069 EFTA01365781