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"Temporary Exception"
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EFTA01357369
Dataset 10
2014-03-28
1p
77w
Subject:
Your KYC has
temporary Exception
!
From:
Janice Frank!!
To:
Amanda Kirby
From: Janice Frank!! Sent: 3/28/2014 12111/ To: Amanda Kirby Subject: Your KYC has
temporary Exception
! The KYC you had submitted has been Approved with
Temporary Exception
. To view the KYC click here https://na4.salesforce.com/5006000000xami. Case #: 01195100 customer Name: Epstein, Jeffrey Customer Number: 00000483289 Please forward this email to any Product officer and/or the Account Opening Group as proof that the KYC has been approved. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357369.pdf
EFTA01356537
Dataset 10
2013-12-02
1p
122w
Subject:
Past due KYC
temporary exception
Pi
From:
Kimberly Hart
To:
Amanda Kirb
From: Kimberly Hart Sent: 12/2/2013 7:28:47 PM To: Amanda Kirb Subject: Past due KYC
temporary exception
Pi Attachments: pic22625.gif; pic15128.gif Importance: High Classification: For internal use only can you please provide an update regarding the past due
temporary exception
associated with KYC 01133377 in the name of Darren Indyke? This is past due and will appear on the monthly report if not addressed immediately. Thanks, Kim (Embedded image moved to file: pi c22625 .gi…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356537.pdf
EFTA01356774
Dataset 10
2013-12-03
1p
129w
Subject:
Re: Past due KYC
temporary exception
[I]
From:
Kimberly Hart
To:
Amanda Kirby
From: Kimberly Hart Sent: 12/3/2013 4:49:15 PM To: Amanda Kirby Subject: Re: Past due KYC
temporary exception
[I] Attachments: pic11912.gif; pic11980.gif; pic22103.gif; pic01376.gif; pic27452.gif; pic29936.gif Classification: For internal use only YOU should speak to the KYC team to figure out what they would accept in lieu of an operating agreement. (Embedded image moved to file: pi c11912.gi f) Kimberly Hart Managing Di rector Deutsche Bank Trust Company Americas Tel…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356774.pdf
EFTA01399504
Dataset 10
2013-12-03
3p
402w
Subject:
Re: Past due KYC
temporary exception
[I]
From:
Amanda Kirby <
To:
Kimberly Hart <
Subject: Re: Past due KYC
temporary exception
[I] From: Amanda Kirby < Date: Tue, 03 Dec 2013 16:50:02 -0500 To: Kimberly Hart < Classification: For internal use only OK. Will do so ASAP Best, Amanda Kirby (Embedded image moved to file: pic00704.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic21347.gif) From: Kimberly Hart/db/dbcom To…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399504.pdf
EFTA01399566
Dataset 10
2013-12-03
2p
249w
Subject:
Re: Past due KYC
temporary exception
[I]
From:
Amanda Kirby <
To:
Kimberly Hart <
Subject: Re: Past due KYC
temporary exception
[I] From: Amanda Kirby < Date: Tue, 03 Dec 2013 16:29:41 -0500 To: Kimberly Hart < Classification: For internal use only Sorry this slipped my mind. I spoke with the client and they are almost positive they do not have the Operating Agreement but is double checking and will confirm in the am. We have the Articles of Organization and a letter stating that it is a single member LLC and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399566.pdf
EFTA01360915
Dataset 10
2013-11-08
1p
83w
Subject:
Your KYC has been Approved with
Temporary Exception
!
From:
Janice Franklin [
[email protected]
]
To:
Amanda Kirby
[email protected]
From: Janice Franklin [
[email protected]
] Sent: 11/8/2013 11:51:45 AM To: Amanda Kirby
[email protected]
Subject: Your KYC has been Approved with
Temporary Exception
! The KYC you had submitted has been Approved with
Temporary Exception
. To view the KYC click here https://na4.salesforce.com/S006000000uF18Y. Case #: 01141322 customer Name: NES, LLC Customer Number: 00000487265 Please forward this email to any Product officer and/or the Account Opening Group as proof that…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360915.pdf
EFTA01360833
Dataset 10
2013-11-01
1p
81w
Subject:
Your KYC has been Approved with
Temporary Exception
!
From:
Janice Franklin
To:
Amanda Kirby [
From: Janice Franklin Sent: 11/1/2013 11:32:24 AM To: Amanda Kirby [ Subject: Your KYC has been Approved with
Temporary Exception
! The KYC you had submitted has been Approved with
Temporary Exception
. To view the KYC click here https://na4.salesforce.com/5006000000717Gx. Case #: 01133377 customer Name: Iniiiilliarren Customer Number: 6405 Please forward this email to any Product officer and/or the Account Opening Group as proof that the KYC has been approved. CONFIDENTIAL - PURSUANT TO FED. R…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01360833.pdf
EFTA01359293
Dataset 10
2015-10-16
1p
329w
Subject:
RE: Mort, Inc. Up a e
From:
Janice Franklin
To:
Jj Litchford
…Litchford CC: Yoonsun Chung Subject: RE: Mort, Inc. Up a e Classification: For Internal use only Hi JJ: Your request for a
Temporary Exception
to our AML Policy for a Certificate of Good Standing has been granted. The
Temporary Exception
was granted based on my conversation with the US Virgin Islands' Division of Corporations and Trademarks which serves as the registry for all corporate filings in the Virgin Islands. The Division of Corporations and Trademarks verbally confirmed that Mort, Inc…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01359293.pdf
EFTA01403006
Dataset 10
2015-10-02
3p
456w
Subject:
Re: Mort, Inc. Update KYC [I]
From:
Jj Litchford e >
To:
Janice Franklin
…2015, at 10:11 AM, Janice Franklin e > wrote: > Classification: For internal use only Hi JJ: Your request for a
Temporary Exception
to our AML Policy for a Certificate of Good Standing has been granted. The
Temporary Exception
was granted based on my conversation with the US Virgin Islands' Division of Corporations and Trademarks which serves as the registry for all corporate filings in the Virgin Islands. The Division of Corporations and Trademarks verbally confirmed that Mort, Inc…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01403006.pdf
EFTA01398919
Dataset 10
2014-05-06
1p
283w
Subject:
April 2014 AML KYC Escalation Reports [I]
From:
Melisa Venegas
To:
Andrew Galliva
…If a client meeting is not possible, you need to work with AML compliance for an exception or extension. 3) For the TempExceptions report: If the
Temporary Exception
should be closed, please email us the case I, explanation and resolution so that we can close it. (See attached file: Domestic Coverage_HRIP Meeting Report_Apr 2014.xlsx)(See attached file: Domestic Coverage_Apr 2014_DomesticTempExceptions.xlsx)(See attached file: Domestic Coverage_Apr 2014_ACUWMatChange.xlsx) Thank you. Best regards, (Embedded…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398919.pdf
EFTA01356411
Dataset 10
1p
264w
…by TEAM Pending Completed Out of Scope • Grand Total USO $68 116 37 821 N/A 630 35 665 1. In Progress 37 63 1 101 6. Approved 23 23 7. Approved with
Temporary Exception
3 3 Inactive 1 1 Rejected 1 26 1 28 LatAm 240 94 83 417 N/A 204 79 283 1. In Progress 36 55 4 95 2. Ready for Primary Officer Approval 8 8 3. Ready for Office Dir Approval/SMTH 1 1 4…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356411.pdf
EFTA01399265
Dataset 10
2018-12-20
39p
1,583w
…LatAm teams have not had appropriately licensed supervisors from a broker dealer perspective EFTA01399271 Miami Business 6 EFTA01399272 * Refer to Excel file for details: 1
Temporary Exception
Overdue (shown in red) 3 Temporary Exceptions Future Due (in yellow) — Jan 2019 47 Temporary Exceptions already Approved and Deadline Met (in green) 0 Permanent Exceptions Temporary Waivers and Exceptions 7 EFTA01399273 Client Acceptance Forum 8 2 New Clients reviewed in CAF: EFTA01399274 Two KYC's for entities with complex structures Aromatiss (Global…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399265.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
…If a client meeting is not possible, you need to work with AML compliance for an exception or extension. 3) For the TempExceptions report: If the
Temporary Exception
should be closed, please email us the case #, explanation and resolution so that we can close it. (See attached file: Domestic Coverage_HRIP Meeting Report_Apr 2014.xlsx)(See attached file: Domestic coverage_Apr 2014_DomesticrempExceptions.xlsx)(see attached file: Domestic coverage_Apr 2014_Acuwmatchange.xlsx) Thank you. Best regards, (Embedded image…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356363.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
EFTA01378746
Dataset 10
2019-05-16
1p
286w
Subject:
FW: • "*REVISED**• RE: Non Post Transactions 05-09-2019 For AC
From:
Brigid Macias
850
temporary exception
approved to reopen the account. Once the issue is resolve please respond to this e mail by 5/16/19, at which time the exception will expire. Regards, William Barrett William Barrett Assistant Vice President I Business Supervisory Office Deutsche Bank Securities Inc. 5022 uite 400, 32256 Jacksonville, USA Tel. Mobile Email #Positivelmpact From: Brigid Macias Sent: Frida , Ma 10, 2019 2:40 PM To: Cc: Bhavesh Chandan >: Rishabh Sharma >; Oversi_• ht Control • Vikas Dave…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01378746.pdf
EFTA01398916
Dataset 10
2014-04-01
3p
586w
…Corporation Client 00000163011 Andrea Nicol etti 4/30/2014 -29
Temporary exception
granted for the following: 1. CFP to obtain 3 tr ust agreements (see attached email) 2. ABR to update Risk Calculator and Checklist and attach them t o KYC. Kimberly Hart New York COVERAGE 01195100 00000483289 Epstein, Jeffrey Client 00000483290 Paul Morris 4/11 /2014 -10
Temporary Exception
granted to obtain a corrected copy of the POA Form granting Mr. Indyke authority to act as agent on Mr…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398916.pdf
EFTA01398920
Dataset 10
2014-05-01
3p
647w
…Silos The Women Global Cancer Initiative, Inc. Client Brian Convey 7/31/2014 -91
Temporary Exception
to accept not for profit organization un til they get their approval from IRS - pls see email attached Kimberly Hart New York COVE RAGE Russell and Willene Dobson Foundation Client Malc olm Kimble 7/23/2014 -83 IRS exemption letter:6 month extension is approved. I unders tand that the process to receive charitable status can be quite lengthy, and last years IRS shutdown…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01398920.pdf
EFTA01356776
Dataset 10
1p
93w
Classification: For internal use only Can you please provide an update regarding the past due
temporary exception
associated with KYC 01133377 in the name of Darren Indyke? This is past due and will appear on the monthly report if not addressed immediately. Thanks, Kim (Embedded image moved to file: pic27452.gif) Kimberly Hart Managing Director Deutsche Sank Trust Company Americas Private wealth management 345 Park Avenue, 27th Floor securities offered through Deutsche Bank Securities Inc. (Embedded image moved to file…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356776.pdf
EFTA01356798
Dataset 10
2013-12-03
1p
217w
From:
Amanda Kirby
To:
Kimberly Hart
From: Amanda Kirby To: Kimberly Hart Date: 12/03/2013 04:29 PM subject: Re: Past due wic
temporary exception
[I] Classification: For internal use only sorry this slipped my mind. I spoke with the client and they are almost positive they do not have the operating Agreement but is double checking and will confirm in the am. We have the Articles of organization and a letter stating that it is a single member LLC and that he is the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356798.pdf
EFTA01294896
Dataset 10
2013-10-28
12p
3,132w
KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01141322 Status : 7. Approved with
Temporary Exception
One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris F New PWM Relationship F Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01294896.pdf
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