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"AML Compliance"
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EFTA01356369
Dataset 10
2016-12-02
1p
183w
Subject:
Nov 2016 AML/KYC Esca ation Reports
From:
Melisa Venegas 1
To:
Armen Brash I Andrew Gallivan .by
…Thank you. ACUs w/Mat Changes' Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total cc File: US_Onshore.xlsx » High 2 9 11 Moderate 1 2 1 8 12 Low 2 8 10 some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 1 Moderate 1 1 Low 1 1 2 Overdue High Risk in Person Meetings 7 City / Risk…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356369.pdf
EFTA01398705
Dataset 10
2016-11-03
2p
209w
Subject:
Oct 2016 AML/KYC Escalation Reports [I]
From:
Melisa Venegas
To:
Armen Brash
…Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 448 * some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 3 5 Moderate 2 1 3 Low 3 1 4 Overdue High Risk in Person Meetings 7 City Coming due 0-30 31-60…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398705.pdf
EFTA01398919
Dataset 10
2014-05-06
1p
283w
Subject:
April 2014 AML KYC Escalation Reports [I]
From:
Melisa Venegas
To:
Andrew Galliva
…focus on the rows shaded in green. For the records with data NOT shaded, we anticipate
AML Compliance
to close those manually pending their review. Also, if Column P reads: a) "Need Update" it means that an update/KYC must be completed b) "KYC in Progress" it means that the KYC must be completed 2) For the HRIP Meeting report: The High Risk in Person Meeting field in DBForce pulls from the ACU. In order to record that a meeting…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398919.pdf
EFTA01356450
Dataset 10
2016-06-03
1p
162w
Subject:
RE: June 2016 AML/KYC Escalation Reports ll]
From:
Melisa Venegas
To:
Armen Brash Andrew Gallivan • Michael 5 Jacoby
…accordingly. Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29s Low 1 11 12s • some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4 Overdue High Risk in Person Meetings 26 CONFIDENTIAL - PURSUANT TO FED…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356450.pdf
EFTA01356363
Dataset 10
2014-05-06
1p
299w
Subject:
April 2014 AML/KYC Escalation Reports
From:
Melisa Venegas
To:
Andrew Gallivan Kimberly Hart ; Michael-1 Davis I
…focus on the rows shaded in green. For the records with data NOT shaded, we anticipate
AML Compliance
to close those manually pending their review. Also, if Column P reads: a) "Need Update" it means that an update/KYC must be completed b) "KYC in Progress" it means that the KYC must be completed 2) For the HRIP Meeting report: The High Risk in Person Meeting field in DBForce pulls from the ACU. In order to record that a meeting…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356363.pdf
EFTA01356293
Dataset 10
2016-05-04
1p
170w
Subject:
May 2016 AML/KYC Escalation Reports III
From:
Melisa Venegaspagougam.
To:
Armen Brash Andrew Galliva Michael S Jacoby
…Thank you. ACUs w/Mat Changes" Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 s 22 29 Low 1 1 10 12 28 are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 18 Moderate 1 3 Low 1 Overdue High Risk in Person Meetings 32 Office 0-30 31-60 61-90 >90 Total…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356293.pdf
EFTA01356360
Dataset 10
2014-04-07
1p
368w
Subject:
March 2014 AML/KYC Escalation Reports III
From:
Melisa Venegas
To:
Kimberly Hart
…If a client meeting is not possible, you need to work with
AML compliance
for an exception or extension. c) For the TempExceptions report: If the Temporary Exception should be closed, please email us the case 8, explanation and resolution so that we can close it. (See attached file: Domestic Coverage_HRIP meeting Report_mar 2014.xlsx)(See attached file: Domestic Coverage_Mar 2014_DomesticTempExceptions.xlsx)(See attached file: Domestic Coverage_Mar 2014_ACUwMatChange.xlsx) Thank you. (Embedded image moved…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356360.pdf
EFTA01356353
Dataset 10
2016-08-03
1p
184w
Subject:
July 2016 AML/KYC Escalation Reports III
From:
Melisa
To:
Armen Brash Andrew Gallivan ; Michael S Jacoby
…Thank you. ACUs w/Mat Changes" Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 2 2 4 Moderate 1 1 17 19 Low 8 1 8 17 * some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 1 2 Moderate 1 1 Low 1 1 Overdue High Risk in Person Meetings 12 OFFICE 0-30…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356353.pdf
EFTA01356267
Dataset 10
2016-11-03
1p
183w
Subject:
Oct 2016 AML/KYC Escalation Reports III
From:
Melisa Venegas
To:
Armen Brash i Andrew Gallivan Michael 5Jacoby
…Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 4 4 8 'some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 7 3 5 Moderate 2 3 Low 3 4 Overdue High Risk in Person Meetings 7 City Coming due…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356267.pdf
EFTA01356325
Dataset 10
2016-09-02
1p
180w
Subject:
Aug 2016 AML/KYC Escalation Reports II)
From:
Melisa Venegas
To:
Armen Brash Andrew Galliva Michael S Jacoby
…Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 1 2 2 6 Moderate 18 18 Low 2 2 2 8 14 • some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 4 4 Moderate 2 2 Low 1 1 Overdue High Risk in Person Meetings 11 Office 0-30…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356325.pdf
EFTA01398752
Dataset 10
2016-05-04
2p
204w
Subject:
May 2016 AML/KYC Escalation Reports [I]
From:
Melisa Venegas
To:
Armen Brash <M I>,
…address accordingly Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 5 22 29 Low 1 1 10 12 * 28 are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 15 1 18 Moderate 1 1 1 3 Low 1 1 Overdue High Risk in Person Meetings 32 Office 0…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398752.pdf
EFTA01356419
Dataset 10
2016-07-06
1p
181w
Subject:
June 2016 AML/KYC Escalation Reports II)
From:
Melisa Venegas
To:
Armen Brash Andrew Gallivan Michael 5Jacoby
…Thank you. ACUs w/Mat Changes" Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 1 4 7* Moderate 1 1 19 21' Low 4 1 8 13* * some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 2 4 Moderate 3 1 1 5 Low 4 4 Overdue High Risk in Person Meetings 26 OFFICE 0-30 31-60 61…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356419.pdf
EFTA01398995
Dataset 10
2p
231w
Subject:
RE: June 2016 AML/KYC Escalation Reports [I]
From:
Melisa Venegas
To:
Armen Brash •- >,
…Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29* Low 1 11 12* * some are pending
AML Compliance
's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4 Overdue High Risk in Person Meetings 26 EFTA01398995 Office 0-30 31…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398995.pdf
EFTA01359707
Dataset 10
2014-09-17
1p
199w
Subject:
Re: FW: FW: Fw: 2014 AML KYC Audit ll]
From:
Ying-A Wang
To:
Jonathan Cheng
…09117/2014 05:38 PM Subject. FW: FW: Fw. 2014 AML KYC Audit Ill Classification: For Internal use only Ying, Please provide me with the below deliverable you sent to Pradeepta so I can record appropriately in the
AML Compliance
files. As mentioned previously, I've been asked to coordinate all requests and deliveries between the Audit team and
AML Compliance
. Please send all request responses to me and I will forward to Audit. Thank you in advance for your…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01359707.pdf
EFTA01402878
Dataset 10
2014-09-17
16p
1,979w
Subject:
Re: FW: FW: Fw: 2014 AML KYC Audit [I]
From:
Ying-A Wang <M >
To:
Jonathan Cheng
…Cherie Quigley/db/dbcom@DBAMERICAS, Matthew Germond/db/dbcom@DBAMERICAS Date: 09/17/2014 05:38 PM Subject: FW: FW: Fw: 2014 AML KYC Audit [I] Classification: For internal use only Ying, Please provide me with the below deliverable you sent to Pradeepta so I can record appropriately in the
AML Compliance
files. As mentioned previously, I've been asked to coordinate all requests and deliveries between the Audit team and
AML Compliance
. Please send all request responses to me…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01402878.pdf
EFTA01374432
Dataset 10
2014-12-19
1p
144w
From:
Dmitri Saks On Behalf Of US-CB S-AML
To:
An
AML Compliance
Deutsche Bank Securities Inc. Compliance RuisancitrPeeftina. Anastasia Pringle-12/22/2014 10:43:18 AM---Classification: For internal use only Good morning, From' Anastasia Pnneie US-CB S-AM To. Cc God Accotst-Oponia. Manikandan Muralidhara 12/22/2014 10:43 AM Dale: RE: ED0 package for the RID: ONB-I LKYCUS= Party name Southern Financial LLC Ill Subject. Classification: For Internal use only Good morning, Do we have an update on the below request. Thanks z Kind…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374432.pdf
EFTA01373009
Dataset 10
2014-12-22
1p
153w
Subject:
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]
From:
Dmitri Saks On Behalf Of US-CB S-AML
To:
Anastasia Pringle
…For internal use only Hello Anastasia, Could you please help to identify the Head of the Business through which this client is being onboarded.
AML Compliance
needs to have a discussion prior to approving this account. Thank you. US CB&S
AML Compliance
AML Compliance
Deutsche Bar* Securities Inc. Compliance Rus41.441Mon Anastasia Pringle---12/22/2014 10.43:18 AM---Classification. For internal use only Good morning. From: To: Cc: 12/22/2014 10.43 AM Date: CONFIDENTIAL - PURSUANT…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373009.pdf
EFTA01373026
Dataset 10
2014-12-22
1p
170w
Subject:
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]
From:
Dmitri Saks On Behalf Of US-CB S-AML
To:
Anastasia Pringle
…identify the Head of the Business through which this client is being onboarded.
AML Compliance
needs to have a discussion prior to approving this account. Thank you. US CB&S
AML Compliance
AML Compliance
Deutsche Bank Securities Inc. Compliance RumierwlyPernow Anastasia Pringle---12/22/2014 10:43:18 AM---Classification: For internal use only Good morning, Anastasia Pringleklb/dbcorraeDBCOEX From. US-CB S-AMUdbldbcom@DBAMERICAS. To. Cc: Ged Aecotr4OpeningkRildboomeDBAmoricas. Manikandan MurandharanidbedbcomaDBAPAC 12/222014 10:43AM Date RE: EDD package br…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373026.pdf
EFTA01373327
Dataset 10
2014-12-22
1p
178w
Subject:
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]
From:
Dmitri Saks On Behalf Of US-CB S-AML
To:
Anastasia Pringle
…Head of the Business through which this client is being onboarded.
AML Compliance
needs to have a discussion prior to approving this account. Thank you. US CB&S
AML Compliance
AML Compliance
Deutsche Sank Securities Inc Compliance Rtnitn4rr PettAnn. Anastasia Pringle---12/22/2014 10:43:18 AM---Classification: For internal use only Good morning, Anastasia Pringleidb/dbcom@DBCOEX From. US-CB S-AMUdb/dbcomeDBAMERICAS, To' Cc : Ged Account-Opening/db/dbcom©DBAmeticas, Manikandan MuralidhararVdbfdbcom©DBAPAC 1222f2014 10:43AM Date: RE: EDD…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373327.pdf
EFTA01373328
Dataset 10
2014-12-19
1p
170w
Subject:
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I]
From:
Dmitri Saks On Behalf Of US-CB S-AML
To:
Anastasia Pringle
…Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Anastasia, The case has been submitted to the next level of approval. Thank you, US CB&S
AML Compliance
AML Compliance
Deutsche Bank Securities Inc. Compliance Pawn,*PowpooK Anastasia Pringle---12/19/2014 02.43:57 PM--Classification: For internal use only Hi Dmitri. Anastasio Pnngleldb/dbcomraDBCOEX Rom: Manikandan Muraldhararklbldbcom@DBAPAC. Dnen…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373328.pdf
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