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"Client-Facing"
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EFTA01372707
Dataset 10
2018-01-04
1p
273w
Subject:
FW: Client Event Schedule: Ten Themes for 2018
From:
Stewart Oldfield [
To:
Andrew King
From: Stewart Oldfield [ Sent: 1/5/201810:24:01 AM To: Andrew King Subject: FW: Client Event Schedule: Ten Themes for 2018 Attachments: Research List_Oldfield_180103.xlsx Importance: High Nice to have this in one place so you can send. I've attached a more updated disty list as well From: WMMarketing Americas Sent: Thursday, January 04, 2018 12:03 PM To: WM-Americas
Client Facing
Prof. & Assts < >; PWMLATAM Cc: Lar >; Felipe Godard < >; Moshe…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372707.pdf
EFTA01376982
Dataset 10
2017-09-11
1p
317w
Subject:
FW: REMINDER: Client Conference Call: Ten Themes for 2017 Update Sept 13 and 14 III
From:
Sarah Rafferty
To:
Stewart Oldfield
…Inc Stewart Oldfield From: Ana A Zamora On Behalf Of WMMarketing Americas Sent: Wednesday, September 06, 2017 9:49 AM To: WM-Americas
Client Facing
Prof. & Assts < PWMLATAM Cc: Patrick Cam • ion Lar V Adam Megan Horneman Moshe Levin Sarah Rafferty a A Zamora' Subject: REMINDER: Client Conference Cal”I et te Sept 13 and 14 111 Deutsche Bank Wealth Management will host a client conference call, Investing in the new world (dis) order — Reassessing reality with Larry Adam…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376982.pdf
EFTA01356359
Dataset 10
2014-09-05
1p
286w
Subject:
Monthly Annual Client Update Reports - September [II
From:
Melisa Venegas
To:
Kimberly Hart I; Zia Memon Erin O-Rourke
… pic17338.gif; pic10241.gif classification: For internal use only All - Attached are two reports: Any ACU that is past due ACUS due within the next 30 days (See attached file: 2014 September - All Overdue ACUs.xlsx)(See attached file: 2014 September - ACUs Due within 30 Days.xlsx) All appropriate
client facing
professionals have already received e-mail notifications. Any additional follow up on your end is optional. Please note there are certain customers that appear to have outstanding ACUs for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356359.pdf
EFTA01436416
Dataset 10
2017-09-14
4p
470w
Subject:
RE: REMINDER: Client Conference Call: Ten Themes for 2017 Update
From:
Xavier Avila
To:
Stewart Oldfield
…Classification: For internal use only Hi Stewart, the following individuals have registered to join for the call on the 13th. Brian merrins Sound harbor llc EFTA01436416 Stew Oldfield Richard Kahn HBRK Associates Inc Stewart Oldfield Paul Barrett HBRK Associates Inc Stewart Oldfield From: Ana A Zamora On Behalf Of WMMarketing Americas Sent: Wednesday, September 06, 2017 9:49 AM To: WM-Americas
Client Facing
Prof. & Assts <WM- Cc: Patrick Campion Larry V Adam >; Megan Horneman ; Matt Barry Moshe Levin …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01436416.pdf
EFTA01398912
Dataset 10
2014-09-05
2p
253w
Subject:
Monthly Annual Client Update Reports - September [I]
From:
Melisa Venegas
To:
Kimberly Hart
…Burrows Cc: Daphne Cales >, Josh Rosen < >, Sarita Medina Irina Yablochnik Ankur Shah Janice Franklin < >, Armen Brash >, Liz Fitzgerald Diana Canter Classification: For internal use only All- Attached are two reports: Any ACU that is past due ACUs due within the next 30 days (See attached file: 2014 September - All Overdue ACUs.xlsx)(See attached file: 2014 September - ACUs Due Within 30 Days.xlsx) All appropriate
client facing
professionals have already received e-mail notifications…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398912.pdf
EFTA01435995
Dataset 10
2017-09-11
3p
391w
Subject:
FW: REMINDER: Client Conference Call: Ten Themes for 2017 Update
From:
WMMarketing Americas
[email protected]
>
To:
Stewart Oldfield ffi •
…only Hi Stewart, the following individuals have registered to join for the call on the 13th. Brian merrins Sound harbor llc Stew Oldfield Richard Kahn HBRK Associates Inc Stewart Oldfield Paul Barrett HBRK Associates Inc Stewart Oldfield EFTA01435995 From: Ana A Zamora On Behalf Of WMMarketing Americas Sent: Wednesday, September 06, 2017 9:49 AM To: WM-Americas
Client Facing
Prof. & Assts <WM- Americas.ClientFacingProf&
[email protected]
>; PWMLATAM <
[email protected]
> Cc: Patrick Campion 4IIIMMINNINIMININFIS; Larry V…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01435995.pdf
EFTA01356311
Dataset 10
2014-11-05
1p
291w
Subject:
Monthly Annual Client Update Reports - Novembe
From:
Rich larossi
To:
Andrew Gallivan ; Ankur Shah ; Armen Brash
… pic11922.gif; pic27781.gif Classification: For internal use only All, Attached are two reports: Any ACV that is past due ACUs due within the next 30 days (See attached file: 2014 November - ACUs Due within 30 Days.xlsx)(See attached file: 2014 November - ACUs Overdue.xlsx) All appropriate
client facing
professionals have al ready received e-mail notifications. Any additional follow up on your end is optional. Please note there are certain customers that appear to have outstanding ACus for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356311.pdf
EFTA01356295
Dataset 10
2014-08-01
1p
284w
Subject:
Monthly Annual Client Update Reports - August [I]
From:
Melisa Venegas
To:
Kimberly Hart Zia Memon Erin O-Rourke 1;
…use only Hi All - Attached are two reports: Any ACU that is past due ACUs due within the next 30 days (See attached file: 2014 August - ACus Due within 30 Days. xl sx)(See attached file: 2014 August - All Overdue ACUs.xlsx) All appropriate
client facing
professionals have already received e-mail notifications. Any additional follow up on your end is optional. Please note there are certain customers that appear to have outstanding ACus for several months and even years…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356295.pdf
EFTA01460095
Dataset 10
2016-04-19
1p
272w
Subject:
FW: REMINDER: Client Conference Call and Webcast - Larry Adam Second Quarter Global Outlook - Tuesday, April
From:
Melinda Roy
To:
Paul Morris
…Sent: 4/13/2016 11:24:46 AM To: Paul Morris Subject: FW: REMINDER: Client Conference Call and Webcast - Larry Adam Second Quarter Global Outlook - Tuesday, April 19, 2016 at 12:15 pm ET Attachments: February Research Distributuion List.xlsx Invite to send out From: Emily Brody On Behalf Of WMMarketing Americas Sent: Tuesday, March 29, 2016 12:20 PM To: &PCD-ALL; WM-Americas
Client Facing
Prof. & Assts; PWMLATAM Cc: Haig Ariyan; Andrew Gallivan; Larry V Adam; Megan Horneman…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01460095.pdf
EFTA01388028
Dataset 10
2017-10-10
1p
195w
Subject:
FW: TODAY: Client Conference Call: CIO Update Call: Be invested, stay invested Oct 10 [I]
From:
Sarah Rafferty
To:
Stewart 0ldfield
…Sarah Sarah Rafferty Director I Marketing. Wealth Management-Americas Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue. New York. NY,10154-0004 USA From: Ana A Zamora On Behalf Of WMMarketing Americas Sent: Tuesday, October 10, 2017 9:00 AM To: WM-Americas
Client Facing
Prof. & Assts >; PWMLATAM >; Cc: Patrick Campion <
[email protected]
>, Sarah Rafferty c > Subject: TODAY: Client Conference Call: CIO Update Call: Be invested, stay invested Oct 10 Deutsche…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388028.pdf
EFTA01436333
Dataset 10
2017-10-10
5p
450w
Subject:
FW: TODAY: Client Conference Call: CIO Update Call: Be invested,
From:
Sarah Rafferty
To:
Stewart Oldfield
…Avenue, New York, NY,10154-0004 USA Tel. +1(212)454-6114 Fax Mobile Email From: Ana A Zamora On Behalf Of WMMarketing Americas Sent: Tuesday, October 10, 2017 9:00 AM To: WM-Americas
Client Facing
Prof. & Assts <WM- Americas.ClientFacingProf&
[email protected]
>; PWMLATAM <
[email protected]
›; '
[email protected]
' <pwm-german-american-
[email protected]
> Cc: Patrick Campion ; Sarah Rafferty Subject: TODAY: Client Conference Call: CIO Update Call: Be invested…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01436333.pdf
EFTA01478074
Dataset 10
2016-04-19
4p
466w
Subject:
FW: REMINDER: Client Conference Call and Webcast - Larry Adam
From:
Melinda Roy <
To:
Paul Morris c- >
Subject: FW: REMINDER: Client Conference Call and Webcast - Larry Adam Second Quarter Global Outlook - Tuesda , April 19, 2016 at 12:15 pm ET From: Melinda Roy < Date: Wed, 13 Apr 2 • • • • To: Paul Morris c- > Invite to send out From: Emily Brody On Behalf Of WMMarketing Americas Sent: Tuesday, March 29, 2016 12:20 PM To: &PCD-ALL; WM-Americas
Client Facing
Prof. & Assts; PWMLATAM Cc: Haig Ariyan; Andrew Gallivan; Larry V Adam; Megan Horneman; Matt Barry; PCS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01478074.pdf
EFTA01460009
Dataset 10
1p
303w
…Yes" Responses and Any Other Material Changes (e.g., divorce, death): WEALTH MANAGEMENT POLICY STATEMENT Deutsche Bank Wealth Management worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing
Professionals' (CFPs) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFPs to demonstrate that they know…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01460009.pdf
EFTA01356568
Dataset 10
1p
324w
…a target market for WM Americas, thus EEA accounts are limited (case by case) and should follow the proper approval process and controls. These limited EEA accounts must always be the result of Reverse Solicitation (client exclusively initiates the business rather than the other way around) as
client facing
staff is prohibited from actively soliciting or offering any products or services to EEA clients. Since there are restrictions on activity for all EEA countries, EEA client identification is important to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356568.pdf
EFTA01386052
Dataset 10
1p
400w
Important information for
client-facing
professionals This material has been prepared solely for informational purposes, and does not contain the full range of products and services available through Deutsche Bank.
Client-Facing
Professionals should not rely solely on this material to determine the products or services to introduce to clients, as all products included herein may not be suitable for every client, and there may be eligibility requirements for certain products.
Client-Facing
Professionals are responsible for determining the suitability…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386052.pdf
EFTA01470762
Dataset 10
2014-09-30
47p
6,786w
…products and services available through Deutsche Bank.
Client-Facing
Professionals should not rely solely on this material to determine the products or services to introduce to clients, as all products included herein may not be suitable for every client, and there may be eligibility requirements for certain products.
Client-Facing
Professionals are responsible for determining the suitability of products and services recommended to clients and for confirming that clients meet any applicable eligibility requirements. Products and services discussed herein may…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01470762.pdf
EFTA01356745
Dataset 10
2018-12-04
1p
215w
…35 Dimitra Manley Dimitra Manley 12/4/2018 LATAM/ INTERNATIONAL APPROVALS
Client Facing
Professional (CFP): ISgnature) Account Manager (Sgnature) Gebel Market Team Head ; Scna:ure) (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICYSTATEMEN'T: Deutsche Bank Private Wealth Management (PWM) worldwide is committed toprofessionally serve the interests ofits clients. To do so,
Client Facing
Professionals1(1) (CFP 's) should establish andmaintain business relationships only withpersons who satisfy our high standards ofsuitability…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356745.pdf
EFTA01345208
Dataset 10
2018-07-30
1p
203w
KYC Print Page 19 of 19 AML compliance (*mature) PRIVATE WEALTH MANAGEMENT POLICYSTATEMENT.• Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing
Professionals!(!) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345208.pdf
EFTA01345247
Dataset 10
2018-08-02
1p
189w
…basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepart ofthe client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWMGlobal KYC Policy (I)
Client Facing
Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345247.pdf
EFTA01477866
Dataset 10
3p
720w
…Not Listed Above? o Yes o No Description of "Yes" Responses and Any Other Material Changes (e.g., divorce, death): WEALTH MANAGEMENT POLICY STATEMENT Deutsche Bank Wealth Management worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing
Professionalsl (CFPs) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01477866.pdf
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