| 19901 |
EFTA01362585.txt |
Alert |
|
suspicious |
none |
2/22/2018 |
report |
dataset_10 |
|
This document is an alert regarding Southern Financial Group Inc. due to accusations of running... |
Financial transactions/money flowLegal matters/litigationAllegations/complaints |
— |
GCIS 00000483882, Reporting ID: Alerted Entity #: 3 of 3, Alert ID: 12737031.1162271583653448 |
gemini-2.0-flash-001 |
| 19902 |
EFTA01362586.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a header page for internal use, marked as confidential and subject... |
|
— |
DB-SDNY-0052073 |
gemini-2.0-flash-001 |
| 19903 |
EFTA01362587.txt |
FW: Red list [SC] |
Nina Tona |
suspicious |
none |
2018-10-19 |
email |
dataset_10 |
|
Nina Tona forwards an email regarding a 'Red list' of clients to 0avide-A Sferrazza, requesting... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
0avide-A Sferrazza |
DB-SDNY-0052075, SDNY_GM_00198259 |
gemini-2.0-flash-001 |
| 19904 |
EFTA01362588.txt |
Red List |
Nina Tona |
suspicious |
none |
2018-10-19 |
email |
dataset_10 |
|
Nina Tona from Deutsche Bank Wealth Management is inquiring about the status of a 'red list'... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Tanushree Kirti |
DB-SDNY-0052076 |
gemini-2.0-flash-001 |
| 19905 |
EFTA01362589.txt |
FW: List of WM clients dependent on CIB ICG sales [II ISO |
Tanushree Kirti |
none |
none |
2018-10-05 |
email |
dataset_10 |
|
Tanushree Kirti emails Nina Tona to confirm the currency of a list of KCP US clients dependent... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona |
DB-SDNY-0052077 |
gemini-2.0-flash-001 |
| 19906 |
EFTA01362590.txt |
List of WM clients dependent on CIB ICG sales [I] |
Tanu Kirti |
none |
none |
2018-07-25 |
email |
dataset_10 |
|
This email from Tanu Kirti to various recipients provides a list of WM clients dependent on CIB... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Mattias Fuerstenberger, Julia Rubio-Lu•ue, Emily, Craig,... |
DB-SDNY-0052078
SDNY_GM_00198262 |
gemini-2.0-flash-001 |
| 19907 |
EFTA01362591.txt |
Process improvement opportunity in CIB for WM clients |
Tanu Kirti |
none |
none |
None |
email |
dataset_10 |
|
Tanu Kirti is seeking information from regional leads regarding WM clients who have trades... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
— |
DB-SDNY-0052079 |
gemini-2.0-flash-001 |
| 19908 |
EFTA01362592.txt |
RE: Family Office Initiative - Follow Up [I] [SC] [CI |
Tanushree Kirti |
none |
none |
2018-10-30 |
email |
dataset_10 |
|
Tanushree Kirti emails Davide-A Sferrazza and Nina Tona regarding the Family Office Initiative... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Davide-A Sferrazza, Nina Tona |
DB-SDNY-0052081 |
gemini-2.0-flash-001 |
| 19909 |
EFTA01362593.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document is a list of entities, including individuals and organizations, along with... |
|
— |
1007668198, 1009171312, 1000335587, 1000051443, 1009438472, 1000334995 |
gemini-2.0-flash-001 |
| 19910 |
EFTA01362594.txt |
KYC Compliance Check |
|
suspicious |
none |
None |
other |
dataset_10 |
|
This document is a list of clients and accounts with KYC compliance status, indicating whether... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052083 |
gemini-2.0-flash-001 |
| 19911 |
EFTA01362595.txt |
RE: Family Office Initiative - Follow Up [II [SC) (CI |
Davide-A Sferrazza |
none |
none |
2018-10-26 |
email |
dataset_10 |
|
Davide-A Sferrazza sent an email to Nina Tona, Victoria Bruce, and Tanushree Kirti providing... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona, Victoria Bruce, Tanushree Kirti |
None |
gemini-2.0-flash-001 |
| 19912 |
EFTA01362596.txt |
RE: Family Office Initiative - Follow Up [I] [SC] |
Nina Tona |
none |
none |
2018-10-25 |
email |
dataset_10 |
|
This email is a follow-up regarding the Family Office Initiative, coordinating approvals for a... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Victoria Bruce, Max Kleinert, Tanushree Kirti, Ian... |
DB-SDNY-0052085 |
gemini-2.0-flash-001 |
| 19913 |
EFTA01362597.txt |
FW: Family Office Initiative - Follow Up (I] (SC] |
Tanushree Kirti |
suspicious |
possible |
2018-10-11 |
email |
dataset_10 |
|
Tanushree Kirti sent an email to Victoria Bruce and Iain Macara providing updates on the Family... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Victoria Bruce |
DB-SDNY-0052087 |
gemini-2.0-flash-001 |
| 19914 |
EFTA01362598.txt |
RE: Family Office Initiative - Follow Up [I] |
Iain Macara |
suspicious |
none |
2018-09-17 |
email |
dataset_10 |
|
This email discusses the progress of the Family Office Initiative and the status of remediation... |
Business dealingsCommunications/correspondence |
Tanushree Kirti, Clifford Fourie |
DB-SDNY-0052088 |
gemini-2.0-flash-001 |
| 19915 |
EFTA01362599.txt |
RE: Family Office Initiative - Follow Up [II |
Clifford Fourie |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
Clifford Fourie is following up with Tanushree Kirti regarding the Family Office Initiative.... |
Business dealingsCommunications/correspondence |
Tanushree |
DB-SDNY-0052090, SDNY_GM_00198274 |
gemini-2.0-flash-001 |
| 19916 |
EFTA01362600.txt |
RE: Family Office Initiative - Follow Up [I) |
Katherine Stead |
none |
none |
2018-07-19 |
email |
dataset_10 |
|
The email discusses the approach to managing Wealth Management clients needing GM product... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Aamir Akram, Max Kleinert |
DB-SDNY-0052091 |
gemini-2.0-flash-001 |
| 19917 |
EFTA01362601.txt |
None |
Katherine Stead |
none |
none |
None |
email |
dataset_10 |
|
Katherine Stead emails Todd regarding a necessary change in the SLA concerning KCP's ownership... |
Business dealingsCommunications/correspondence |
lain, Cliff |
DB-SDNY-0052092, SDNY_GM_00198276 |
gemini-2.0-flash-001 |
| 19918 |
EFTA01362602.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document lists entities with KYC status and approval levels. It seems to be related to... |
Business dealings |
— |
1000039769, 1007668198, 1009171312, 1000335587 |
gemini-2.0-flash-001 |
| 19919 |
EFTA01362603.txt |
KYC and Client Information |
|
none |
none |
None |
other |
dataset_10 |
|
This document lists clients and their KYC status, indicating required approvals and risk levels.... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052096 |
gemini-2.0-flash-001 |
| 19920 |
EFTA01362604.txt |
TAB |
Davide-A Sferrazza |
none |
none |
2018-10-26 |
email |
dataset_10 |
|
The email from Davide-A Sferrazza to Victoria Bruce and Tanushree Kirti forwards a list of... |
Business dealings |
Victoria Bruce, Tanushree Kirti |
DB-SDNY-0052097 |
gemini-2.0-flash-001 |
| 19921 |
EFTA01362605.txt |
RE: Family Office Initiative - Follow Up [I] [SC] [CI |
Nina Tona |
none |
none |
2018-10-25 |
email |
dataset_10 |
|
Davide Sferrazza sends an email to colleagues with updates and changes to the 'KCP US' tab of a... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Victoria Bruce |
DB-SDNY-0052098 |
gemini-2.0-flash-001 |
| 19922 |
EFTA01362606.txt |
FW: Family Office Initiative - Follow Up (I( (SC) |
Tanushree Kirti |
suspicious |
possible |
2018-10-11 |
email |
dataset_10 |
|
Vicky Bruce forwards an email chain regarding the status of client approvals in GM systems. The... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Victoria Bruce |
DB-SDNY-0052100 |
gemini-2.0-flash-001 |
| 19923 |
EFTA01362607.txt |
RE: Family Office Initiative - Follow Up [Ij [SC) |
lain Macara |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
This email exchange discusses the progress of the Family Office Initiative and the actions being... |
Business dealingsCommunications/correspondence |
Tanushree Kirti, Clifford Fourie |
DB-SDNY-0052101 |
gemini-2.0-flash-001 |
| 19924 |
EFTA01362608.txt |
RE: Family Office Initiative - Follow Up [IJ |
Iain Macara |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
This email discusses the process for ICG to provide support for WM clients, particularly those... |
Business dealingsCommunications/correspondence |
Tanushree Kirti, Clifford Fourie |
DB-SDNY-0052102 |
gemini-2.0-flash-001 |
| 19925 |
EFTA01362609.txt |
RE: Family Office Initiative - Follow Up [I] |
Clifford Fourie |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
This email is a follow-up regarding the Family Office Initiative. It provides an update on the... |
Business dealingsCommunications/correspondence |
Tanushree Kirti |
DB-SDNY-0052103 |
gemini-2.0-flash-001 |
| 19926 |
EFTA01362610.txt |
RE: Family Office Initiative - Follow Up [I] |
lain Macara |
none |
none |
2018-07-19 |
email |
dataset_10 |
|
The email discusses the approach agreed upon between Wealth Management (WM) and ICG regarding... |
Business dealingsCommunications/correspondence |
Aamir Akram, Max Kleinert, Oliver Bettin, Tanushree... |
DB-SDNY-0052104 |
gemini-2.0-flash-001 |
| 19927 |
EFTA01362611.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document page contains administrative information, including document IDs and... |
|
— |
DB-SDNY-0052106, SDNY GM_00198290 |
gemini-2.0-flash-001 |
| 19928 |
EFTA01362612.txt |
FW: List of WM c lents epen ent on CIB ICG sales [Il [SC] |
Nina Tona |
none |
none |
2018-10-09 |
email |
dataset_10 |
|
Nina Tona forwards an email from Tanushree Kirti regarding a list of WM clients dependent on CIB... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Davide-A Sferrazza |
DB-SDNY-0052107 |
gemini-2.0-flash-001 |
| 19929 |
EFTA01362613.txt |
RE: List of WM clients dependent on CIB ICG sales ill [SC] |
Nina Tona |
none |
none |
2018-09-18 |
email |
dataset_10 |
|
This email exchange between Nina Tona, Tanushree Kirti, and Ian Salters concerns a list of WM... |
Business dealingsCommunications/correspondence |
Tanushree Kirti, Ian Salters |
DB-SDNY-0052108 |
gemini-2.0-flash-001 |
| 19930 |
EFTA01362614.txt |
RE: List of WM clients dependent on CIB ICG sales [I] [SC] |
Max Kleinert |
none |
none |
2018-08-28 |
email |
dataset_10 |
|
Max Kleinert provides KCP EMEA input on a list of WM clients dependent on CIB ICG sales,... |
Business dealingsCommunications/correspondence |
Tanushree Kirti, Sean Carney |
DB-SDNY-0052109 |
gemini-2.0-flash-001 |
| 19931 |
EFTA01362615.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a confidential list of organizations and people, possibly related to a legal... |
|
— |
DB-SDNY-0052110, SDNY_GM_00198294 |
gemini-2.0-flash-001 |
| 19932 |
EFTA01362616.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document is a list of names and organizations, possibly extracted from a label or placard.... |
|
— |
DB-SDNY-0052111, SDNY_GM_00198295 |
gemini-2.0-flash-001 |
| 19933 |
EFTA01362617.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document appears to be a list of companies, individuals, and associated codes, possibly... |
Business dealings |
— |
1000604343_GB, 1000604343, 1000639994_GB, 1000639994, 1000773998_GB, 1000773998, 1000773998_HK, 1000773998, DB-SDNY-0052112, SDNY_GM_00198296 |
gemini-2.0-flash-001 |
| 19934 |
EFTA01362618.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a label or placard associated with a confidential file, possibly... |
|
— |
1001146814_GB, 1001146814 |
gemini-2.0-flash-001 |
| 19935 |
EFTA01362619.txt |
RE: List of WM clients dependent on CIB ICG sales [I] [SC] |
Tanushree Kirti |
none |
none |
2018-08-16 |
email |
dataset_10 |
|
Tanushree Kirti sent an email to multiple recipients regarding a list of WM clients dependent on... |
Business dealingsCommunications/correspondence |
Max Kleinert, Sean Carney, Nina Tona, Ian Salter, Danny... |
DB-SDNY-0052114 |
gemini-2.0-flash-001 |
| 19936 |
EFTA01362620.txt |
WM clients and ICG coverage |
Tanu Kirti |
none |
none |
YYYY-MM-DD |
email |
dataset_10 |
|
The email discusses the process for handling trades for WM clients requiring ICG coverage,... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
— |
DB-SDNY-0052115, SDNY_GM_00198299 |
gemini-2.0-flash-001 |
| 19937 |
EFTA01362621.txt |
List of WM clients dependent on CIB ICG sales (I) |
Tanushree Kirti |
none |
none |
2018-07-25 |
email |
dataset_10 |
|
Tanushree Kirti is requesting regional leads to provide a list of WM clients dependent on ICG... |
Business dealingsCommunications/correspondence |
Mattias Fuerstenber er, Julia Rubio-Luque, Emily Craig,... |
DB-SDNY-0052116 |
gemini-2.0-flash-001 |
| 19938 |
EFTA01362622.txt |
FW: Family Office Initiative - Follow Up [SC) [C] (I) |
Nina Tona |
none |
none |
2018-11-26 |
email |
dataset_10 |
|
This email chain discusses the Family Office Initiative within Deutsche Bank Wealth Management.... |
Business dealingsCommunications/correspondenceEmployment/staffing |
Davide-A Sferrazza |
DB-SDNY-0052118 |
gemini-2.0-flash-001 |
| 19939 |
EFTA01362623.txt |
RE: Family Office Initiative - Follow Up [I] [SC] ICI |
|
none |
none |
None |
email |
dataset_10 |
|
The email discusses the Family Office Initiative and expresses confusion regarding a spreadsheet... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Max Kleinert, Ian Salter/IRWIN, Victoria Bruce |
None |
gemini-2.0-flash-001 |
| 19940 |
EFTA01362624.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document lists several entities including insurance companies, foundations, and private... |
|
— |
None |
gemini-2.0-flash-001 |
| 19941 |
EFTA01362625.txt |
KYC Client List |
|
none |
none |
None |
list |
dataset_10 |
|
This document is a list of clients and their associated ACOs for KYC compliance. It indicates... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052121 |
gemini-2.0-flash-001 |
| 19942 |
EFTA01362626.txt |
RE: Family Office Initiative - Follow Up [I] [SC] [C] |
Davide-A Sferrazza |
none |
none |
2018-10-26 |
email |
dataset_10 |
|
Davide Sferrazza sends an email to Nina Tona, Tanushree Kirti, and others regarding updates to... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Nina Tona, Tanushree Kirti |
DB-SDNY-0052122 |
gemini-2.0-flash-001 |
| 19943 |
EFTA01362627.txt |
RE: Family Office Initiative - Follow Up [I] [SC] |
Nina Tona |
none |
none |
2018-10-25 |
email |
dataset_10 |
|
Nina Tona is following up on the Family Office Initiative, requesting Davide to send the... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Victoria Bruce, Tanushree Kirti |
DB-SDNY-0052123 |
gemini-2.0-flash-001 |
| 19944 |
EFTA01362628.txt |
RE: Family Office Initiative - Follow Up (I] [SCI |
Victoria Bruce |
suspicious |
possible |
2018-10-11 |
email |
dataset_10 |
|
Victoria Bruce is following up on the Family Office Initiative and requesting that Tanushree... |
Business dealingsCommunications/correspondence |
Tanushree Kirti |
DB-SDNY-0052124 |
gemini-2.0-flash-001 |
| 19945 |
EFTA01362629.txt |
RE: Family Office Initiative - Follow Up [I] [SC] |
Tanushree Kirti |
suspicious |
possible |
2018-09-17 |
email |
dataset_10 |
|
Tanu Kirti sent an email to Iain Macara and others providing background information on a list of... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Iain Macara, Clifford Fourie |
DB-SDNY-0052125 |
gemini-2.0-flash-001 |
| 19946 |
EFTA01362630.txt |
RE: Fami y O ice Initiative - Follow p |
Max Kleinert |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
This email discusses the progress of a Family Office Initiative, specifically the process of... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Victoria Bruce |
DB-SDNY-0052126
SDNY_GM_00198310 |
gemini-2.0-flash-001 |
| 19947 |
EFTA01362631.txt |
RE: Family Office Initiative - Follow Up (I) |
Tanushree Kirti |
suspicious |
none |
2018-09-17 |
email |
dataset_10 |
|
The email discusses the coordination between WM and ICG regarding client coverage, specifically... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Clifford Fourie |
DB-SDNY-0052127 |
gemini-2.0-flash-001 |
| 19948 |
EFTA01362632.txt |
RE: Family Office Initiative - Follow Up [I] |
Tanushree Kirti |
suspicious |
none |
2018-07-20 |
email |
dataset_10 |
|
Tanushree Kirti provides an update on the Family Office Initiative, stating that they are... |
Business dealingsCommunications/correspondence |
Iain Macara, Katherine Stead, Aamir Akram, Max Kleinert |
SDNY_GM_00198312 |
gemini-2.0-flash-001 |
| 19949 |
EFTA01362633.txt |
Family Office Initiative - Follow Up [II |
Katherine Stead |
suspicious |
none |
2018-07-19 |
email |
dataset_10 |
|
The email discusses the Family Office Initiative and clarifies the roles and responsibilities of... |
Business dealingsFinancial transactions/money flowEmployment/staffing |
Aamir Akram, Max Kleinert |
DB-SDNY-0052129 |
gemini-2.0-flash-001 |
| 19950 |
EFTA01362634.txt |
None |
Katherine Stead |
none |
none |
None |
email |
dataset_10 |
|
This document is an email signature from Katherine Stead, Director and Global Head of ITC BCU.... |
|
— |
DB-SDNY-0052130, SDNY_GM_00198314 |
gemini-2.0-flash-001 |
| 19951 |
EFTA01362635.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a page from a legal case file, marked as confidential and identified... |
|
— |
DB-SDNY-0052131, SDNY_GM_00 198315 |
gemini-2.0-flash-001 |
| 19952 |
EFTA01362636.txt |
RE: Family Office Initiative - Follow Up [IJ [SC] [CI |
Davide-A Sferrazza |
none |
none |
2018-10-25 |
email |
dataset_10 |
|
Davide Sferrazza sends an email to Nina Tona, Victoria Bruce, and Tanushree Kirti with comments... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Nina Tona, Victoria Bruce, Tanushree Kirti |
DB-SDNY-0052133 |
gemini-2.0-flash-001 |
| 19953 |
EFTA01362637.txt |
RE: Family Office Initiative - Follow Up (II [SCJ |
Nina Tona |
suspicious |
none |
Thursday, O |
email |
dataset_10 |
|
This email discusses the finalization and approval process for a client list related to the... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Victoria Bruce, Tanushree Kirti |
DB-SDNY-0052134 |
gemini-2.0-flash-001 |
| 19954 |
EFTA01362638.txt |
RE: Family Office Initiative - Follow Up |
Tanushree Kirti |
suspicious |
possible |
2018-09-17 |
email |
dataset_10 |
|
Tanushree Kirti sends an email to Iain Macara and others regarding the Family Office Initiative,... |
Business dealingsCommunications/correspondence |
lain Macara, lifford Fourie |
DB-SDNY-0052136 |
gemini-2.0-flash-001 |
| 19955 |
EFTA01362639.txt |
RE: Family Office Initiative - Follow Up II] |
lain Macara |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
This email discusses the Family Office Initiative and the need for ICG support for WM clients.... |
Business dealingsCommunications/correspondence |
Tanushree Kirti |
DB-SDNY-0052137
SDNY_GM_00198321 |
gemini-2.0-flash-001 |
| 19956 |
EFTA01362640.txt |
RE: Family Office Initiative - Follow Up [I] |
Clifford Fourie |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
The email discusses the Family Office Initiative and client coverage within WM and CIB. It... |
Business dealingsCommunications/correspondence |
Tanushree Kirti |
DB-SDNY-0052138 |
gemini-2.0-flash-001 |
| 19957 |
EFTA01362641.txt |
RE: Family Office Initiative - Follow Up [I] |
Iain Macara |
none |
none |
2018-07-19 |
email |
dataset_10 |
|
The email discusses the approach agreed upon for WM clients needing GM product coverage,... |
Business dealingsCommunications/correspondence |
Katherine Stead, Aamir Akram, ax Kleinert |
SDNY_GM_00198323 |
gemini-2.0-flash-001 |
| 19958 |
EFTA01362642.txt |
Family Office Initiative - Follow Up (II |
Katherine Stead |
none |
none |
201-07-19 |
email |
dataset_10 |
|
Katherine Stead sends an email to Aamir Akram following up on a call regarding the Family Office... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Aamir Akram |
None |
gemini-2.0-flash-001 |
| 19959 |
EFTA01362643.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document page contains confidentiality notices and identification numbers. It appears to be... |
|
— |
DB-SDNY-0052141, SDNY GM 00198325 |
gemini-2.0-flash-001 |
| 19960 |
EFTA01362644.txt |
FW: Red list [SC] u |
Nina Tona |
suspicious |
possible |
2018-10-23 |
email |
dataset_10 |
|
Nina Tona forwards an email about a 'Red list' of clients to 0avide-A Sferrazza, requesting a... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
0avide-A Sferrazza |
DB-SDNY-0052142, SDNY_GM_00198326 |
gemini-2.0-flash-001 |
| 19961 |
EFTA01362645.txt |
RE: Red List [SCI |
Tanushree Kirti |
none |
none |
2018-10-19 |
email |
dataset_10 |
|
This email exchange between Tanushree Kirti and Nina Tona concerns a 'Red List' that requires... |
Business dealingsCommunications/correspondence |
Nina Tona |
DB-SDNY-0052143 |
gemini-2.0-flash-001 |
| 19962 |
EFTA01362646.txt |
List of WM clients dependent on CIB ICG sales [II |
Tanu Kirti |
none |
none |
2018-07-25 |
email |
dataset_10 |
|
Tanu Kirti sent an email to a group of recipients regarding a list of WM clients dependent on... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Mattias Fuerstenberge, Julia Rubio-Luque, Craig, n a-So... |
DB-SDNY-0052146 |
gemini-2.0-flash-001 |
| 19963 |
EFTA01362647.txt |
Process improvement opportunity in CIB for WM clients |
Tanu Kirti |
none |
none |
None |
email |
dataset_10 |
|
Tanu Kirti is seeking input from regional leads to compile a list of WM clients who have trades... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
— |
DB-SDNY-0052147 |
gemini-2.0-flash-001 |
| 19964 |
EFTA01362648.txt |
FW: Family Office Initiative - Follow Up [I] [SC] [C) |
Ian Salters |
none |
none |
2018-10-30 |
email |
dataset_10 |
|
Ian Salters forwards an email from Tanushree Kirti to Davide-A Sferrazza and Nina Tona regarding... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Davide-A Sferrazza I, Nina Tona |
|
gemini-2.0-flash-001 |
| 19965 |
EFTA01362649.txt |
KYC Status and Client Information |
|
suspicious |
none |
None |
list |
dataset_10 |
|
This document lists clients, their dbcar IDs, and KYC status, including ACO approval. It... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
None |
gemini-2.0-flash-001 |
| 19966 |
EFTA01362650.txt |
RE: Family Office Initiative - Follow Up [II [SC] [CJ |
Davide-A Sferrazza |
none |
none |
2018-10-26 |
email |
dataset_10 |
|
Davide-A Sferrazza sent an email to Nina Tona and Victoria Bruce with comments and changes to... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Nina Tona, Victoria Bruce |
SDNY_GM_00198336 |
gemini-2.0-flash-001 |
| 19967 |
EFTA01362651.txt |
RE: Family Office Initiative - Follow Up [I] [SC] |
Nina Tona |
none |
none |
2018-10-25 |
email |
dataset_10 |
|
This email is an internal communication within Deutsche Bank regarding a Family Office... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Victoria Bruce, Tanushree Kirti |
DB-SDNY-0052153 |
gemini-2.0-flash-001 |
| 19968 |
EFTA01362652.txt |
FW: Family Office Initiative - Follow Up [I] [SC] |
Tanushree Kirti |
suspicious |
none |
2018-10-11 |
email |
dataset_10 |
|
Tanushree Kirti emailed Victoria Bruce and Iain Macara to provide an update on the Family Office... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Victoria Bruce |
DB-SDNY-0052155 |
gemini-2.0-flash-001 |
| 19969 |
EFTA01362653.txt |
RE: Family Office Initiative - Follow Up [Ij |
Iain Macara |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
The email discusses the process for ICG to provide support for WM clients, particularly those... |
Business dealingsCommunications/correspondence |
Tanushree Kirti, Clifford Fourie |
DB-SDNY-0052157 |
gemini-2.0-flash-001 |
| 19970 |
EFTA01362654.txt |
RE: Family Office Initiative - Follow Up [I] |
Clifford Fourie |
none |
none |
2018-09-17 |
email |
dataset_10 |
|
Clifford Fourie is following up with Tanushree Kirti regarding the Family Office Initiative.... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Tanushree Kirti |
DB-SDNY-0052158 |
gemini-2.0-flash-001 |
| 19971 |
EFTA01362655.txt |
RE: Family Office Initiative - Follow Up DJ |
Iain Macara |
none |
none |
2018-07-19 |
email |
dataset_10 |
|
The email discusses the allocation of Accountable Client Owners (ACOs) to clients of Wealth... |
Business dealingsCommunications/correspondence |
Katherine Stead, Aamir Akram, Max Kleinert |
DB-SDNY-0052159 |
gemini-2.0-flash-001 |
| 19972 |
EFTA01362656.txt |
None |
Katherine Stead |
none |
none |
None |
email |
dataset_10 |
|
Katherine Stead sent an email to Iain and Cliff to discuss the ACO situation, KCP booked trades,... |
Business dealingsCommunications/correspondenceLegal matters/litigation |
lain, Cliff |
DB-SDNY-0052160 |
gemini-2.0-flash-001 |
| 19973 |
EFTA01362657.txt |
Cases 01141322: has been assigned to you. |
Amanda Kirby |
none |
none |
2013-10-22 |
email |
dataset_10 |
|
Amanda Kirby sent an email to Paul Morris notifying him of a new case assignment. The case... |
Business dealingsCommunications/correspondence |
Paul Morris |
01141322 |
gemini-2.0-flash-001 |
| 19974 |
EFTA01362658.txt |
KYC remediation (lj |
Ian Salters |
none |
none |
2019-02-25 |
email |
dataset_10 |
|
Ian Salters sent an email to Brian Serino, Kareen Johnson, Davide-A Sferrazza, Nina Tona, and... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Brian Serino, Kareen Johnson, Davide-A Sferrazza, Nina... |
DB-SDNY-0052166
SDNY_GM_00198350 |
gemini-2.0-flash-001 |
| 19975 |
EFTA01362659.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a disclaimer and informational page from Institutional Wealth Partners (IWP), a... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052167 |
gemini-2.0-flash-001 |
| 19976 |
EFTA01362660.txt |
Copy of IWP Remediation List - to be reviewed (002).xlsx |
Davide-A Sferrazza |
none |
none |
2019-05-16 |
email |
dataset_10 |
|
Davide-A Sferrazza sent Nina Tona an email with a copy of the 'IWP Remediation List' attached... |
Business dealingsCommunications/correspondence |
Nina Tona |
DB-SDNY-0052168 |
gemini-2.0-flash-001 |
| 19977 |
EFTA01362661.txt |
RE: "'REASSIGN NEEDED•••FW: SOUTHERN FINANCIAL LLC ONB-1010155 ' •••URGENT`• Ill |
Nina Tona |
suspicious |
none |
2018-02-26 |
email |
dataset_10 |
|
Nina Tona is seeking advice from Zack Bunimovich regarding Southern Financial LLC, which has... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich |
ONB-1010155, BR 1007494283 |
gemini-2.0-flash-001 |
| 19978 |
EFTA01362662.txt |
Business Unit Adoption Location Adoption Entity |
|
none |
none |
None |
other |
dataset_10 |
|
This document lists business units, adoption locations, and entities, along with associated... |
Business dealings |
— |
DB-SDNY-0052171, SDNY_GM_00198355 |
gemini-2.0-flash-001 |
| 19979 |
EFTA01362663.txt |
RE: ***REASSIGN NEEDED***FW SOUTHERN FINANCIAL LLC |
Nina Tona |
suspicious |
none |
2018-02-12 |
email |
dataset_10 |
|
This email chain discusses the reassignment of the Southern Financial LLC account due to Amber... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Amber Davis, Kareen Johnson, Yolanda Wood |
DB-SDNY-0052173 |
gemini-2.0-flash-001 |
| 19980 |
EFTA01362664.txt |
RE: SF III |
Xavier Avila |
none |
none |
2018-03-05 |
email |
dataset_10 |
|
The email chain discusses the SF III case and assigns Zack Bunimovich as the case manager.... |
Business dealingsCommunications/correspondenceEmployment/staffing |
Rita Shteynberg, Mathew Negus, Jitan Patel, Zack Bunimovich |
DB-SDNY-0052181 |
gemini-2.0-flash-001 |
| 19981 |
EFTA01362665.txt |
RE: SF |
Xavier Avila |
none |
none |
2018-03-01 |
email |
dataset_10 |
|
This email exchange discusses a client transaction issue at Deutsche Bank. Iain Macara requests... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Iain Macara, Rita Shteynber, Jitan Patel, Mathew Negus,... |
None |
gemini-2.0-flash-001 |
| 19982 |
EFTA01362666.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document is a list of entities and individuals, potentially related to financial or... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052189
SDNY_GM_00198373 |
gemini-2.0-flash-001 |
| 19983 |
EFTA01362667.txt |
RE: GM KCP Bible - Action Plan - Update I ill |
Xavier Avila |
none |
none |
2018-02-20 |
email |
dataset_10 |
|
This email exchange discusses updates to an 'Action Plan' related to KCP, with participants... |
Business dealingsCommunications/correspondence |
Nina Tona, Davide-A Sferrazza, Joshua Shoshan, Billy... |
DB-SDNY-0052190
SDNY_GM_00198374 |
gemini-2.0-flash-001 |
| 19984 |
EFTA01362668.txt |
None |
Nina Tona |
none |
none |
None |
email |
dataset_10 |
|
Nina Tona from Deutsche Bank Wealth Management is informing recipients about updates to the... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
— |
DB-SDNY-0052192 |
gemini-2.0-flash-001 |
| 19985 |
EFTA01362669.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document is a list of entities associated with KCP LATAM and KCP US. It also mentions that a... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052199
SDNY_GM_00198383 |
gemini-2.0-flash-001 |
| 19986 |
EFTA01362670.txt |
ISDA, Revenues, Live Trade, GM or Umbrella Account |
Nina Tona |
none |
none |
None |
other |
dataset_10 |
|
This document outlines team responsibilities within Deutsche Bank Wealth Management for various... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052202 |
gemini-2.0-flash-001 |
| 19987 |
EFTA01362671.txt |
|
Zack Bunimovich |
suspicious |
none |
2018-03-13 |
email |
dataset_10 |
|
This email provides information regarding the ownership structure, legal representatives, and... |
Financial transactions/money flowBusiness dealingsLegal matters/litigation |
Martin Zeman, Xavier Avila, Rita Steynberg, Mathew Negus |
DB-SDNY-0052205 |
gemini-2.0-flash-001 |
| 19988 |
EFTA01362672.txt |
RE: SF ill |
Monika Valantiejute |
suspicious |
none |
02 Marc |
email |
dataset_10 |
|
Monika Valantiejute provides an update to Xavier Avila regarding a client, noting that while the... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila |
DB-SDNY-0052211, SDNY_GM_00198395 |
gemini-2.0-flash-001 |
| 19989 |
EFTA01362673.txt |
Davide-A Sferrazza RE: '"REASSIGN NEEDED•`•FW: SOUTHERN FINANCIAL LLC ONB-10101SS ••••URGENT`• |
Nina Ton |
suspicious |
none |
2018-02-26 |
email |
dataset_10 |
|
Nina Ton is seeking clarification on whether trading with SOUTHERN FINANCIAL LLC is permissible... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Rita Shteynber, Zack Bunimovic, Davide-A Sferrazza |
ONB-10101SS |
gemini-2.0-flash-001 |
| 19990 |
EFTA01362674.txt |
RE: • ••REASSIGN NEEDED"`FW: SOUTHERN FINANCIAL LLC - ONB-1010155 JIJ |
Zack Bunimovich |
none |
none |
2018-02-14 |
email |
dataset_10 |
|
This email chain discusses a reassignment related to Southern Financial LLC and the status of... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Ton, Davide-A Sferrazza |
ONB-1010155 JIJ, BR 1007494283 |
gemini-2.0-flash-001 |
| 19991 |
EFTA01362675.txt |
Business Unit Adoption Location Adoption Entity Product System Account ID Status |
Zack |
none |
none |
None |
other |
dataset_10 |
|
This document is a list of business units, adoption locations, entities, products, systems,... |
Business dealings |
— |
DB-SDNY-0052216 |
gemini-2.0-flash-001 |
| 19992 |
EFTA01362676.txt |
RE: SOUTHERN FINANCIAL LLC - ONB-1010155 (I) |
Nina Tona |
suspicious |
none |
Thursday, F |
email |
dataset_10 |
|
This email provides information about Southern Financial LLC, including its ownership structure... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Amber Davis |
ONB-1010155 (I) |
gemini-2.0-flash-001 |
| 19993 |
EFTA01362677.txt |
RE: Southcm Financial LLC - KYC and credit derivatives/convertible bonds onboarding (Cl JIJ |
Zack Bunimovich |
none |
none |
2018-03-30 |
email |
dataset_10 |
|
The email chain discusses the KYC process for Southern Financial LLC, specifically focusing on... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Liam Osullivan, Nina Tona, Martin Zeman, Rita Shteynbe |
None |
gemini-2.0-flash-001 |
| 19994 |
EFTA01362678.txt |
RE: Southern Financial LLC KYC and credit derivatives/convertible bonds onboarding (C] (I) |
Nina Tona |
none |
none |
2018-03-29 |
email |
dataset_10 |
|
This email chain discusses the KYC (Know Your Customer) process for onboarding Southern... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich |
DB-SDNY-0052227 |
gemini-2.0-flash-001 |
| 19995 |
EFTA01362679.txt |
RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding ICJ |
Zack Bunimovich |
none |
none |
2018-03-15 |
email |
dataset_10 |
|
This email chain discusses the KYC (Know Your Customer) process for Southern Financial LLC as... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Martin Zeman, Rita Shteynber |
DB-SDNY-0052228 |
gemini-2.0-flash-001 |
| 19996 |
EFTA01362680.txt |
Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] |
Martin |
suspicious |
possible |
2018-03-13 |
email |
dataset_10 |
|
This email provides KYC information and formation documents for Southern Financial LLC,... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich, Rita Shteynberg, Jitan Patel |
DB-SDNY-0052229 |
gemini-2.0-flash-001 |
| 19997 |
EFTA01362681.txt |
RE: Southern Financial LLC [II [C] |
Davide-A Sferrazza |
none |
none |
2018-01-16 |
email |
dataset_10 |
|
This email chain involves a request for KYC information and documentation related to Southern... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona, Liam Osullivan, avier Avila, Martin Zeman |
DB-SDNY-0052240 |
gemini-2.0-flash-001 |
| 19998 |
EFTA01362682.txt |
SETTLEMENT INSTRUCTIONS |
Nina Tona |
none |
none |
2017-12-15 |
email |
dataset_10 |
|
The email from Nina Tona to Martin Zeman and Xavier Avila provides settlement instructions for... |
Financial transactions/money flowCommunications/correspondence |
Martin Zeman, Xavier Avila |
EFTA01362682 |
gemini-2.0-flash-001 |
| 19999 |
EFTA01362683.txt |
Southern Financial LLC - Onboarding Requirements |
Nina Tona |
none |
none |
None |
email |
dataset_10 |
|
Nina Tona from Deutsche Bank is requesting documentation and approvals from Xavier Avila to... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Xavier Avila, Xavt |
DB-SDNY-0052246 |
gemini-2.0-flash-001 |
| 20000 |
EFTA01362684.txt |
RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding (C) [I] |
Xavier Avila |
suspicious |
none |
2018-03-29 |
email |
dataset_10 |
|
This email discusses the KYC (Know Your Customer) process and onboarding of Southern Financial... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona, Liam Osullivan, Zack Bunimovich, Martin... |
None |
gemini-2.0-flash-001 |