| 20201 |
EFTA01362885.txt |
Employer Identification Number |
INTERNAL REVENUE SERVICE |
none |
none |
eq-28-2013 |
notice |
dataset_10 |
|
The document is a notice from the Internal Revenue Service (IRS) informing OTERW FINANCIAL. L:C... |
Financial transactions/money flowLegal matters/litigation |
OTERW FINANCIAL. L:C, getwiTtam TRugT COMPANY MC SOLE 11 |
CP 575 4 |
gemini-2.0-flash-001 |
| 20202 |
EFTA01362886.txt |
None |
|
none |
none |
2013-09-20 |
other |
dataset_10 |
|
This document appears to be a scanned copy of corporate resolutions from Stuthem'Trust Company,... |
Business dealings |
— |
None |
gemini-2.0-flash-001 |
| 20203 |
EFTA01362887.txt |
None |
|
none |
none |
Sep 20. 2013 |
other |
dataset_10 |
|
This document appears to be a scanned image of corporate resolutions concerning a merger and the... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052549 |
gemini-2.0-flash-001 |
| 20204 |
EFTA01362888.txt |
Consent to be filed with the Minutes of the proceedings of the Bond of Directors |
|
none |
none |
2013-09-20 |
other |
dataset_10 |
|
This document is a consent resolution from the directors of Financial Tmst Company, Inc., dated... |
Business dealingsLegal matters/litigation |
— |
DB-SDNY-0052550, SDNY_GM_00198734 |
gemini-2.0-flash-001 |
| 20205 |
EFTA01362889.txt |
Consent of the Board of Directors |
|
none |
none |
Sap 20 2013 |
Consent of the Board of Directors |
dataset_10 |
|
This document is a consent resolution from the Board of Directors of Financial Wormatics, Inc.... |
Business dealings |
— |
None |
gemini-2.0-flash-001 |
| 20206 |
EFTA01362890.txt |
Corporate Resolutions |
|
none |
none |
Sep 20 2013 |
corporate resolution |
dataset_10 |
|
This document contains corporate resolutions from a corporation, including the election of... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052552, SDNY GM_00 198736 |
gemini-2.0-flash-001 |
| 20207 |
EFTA01362891.txt |
Resolution of the Board of Directors |
|
none |
none |
2013 |
legal filing |
dataset_10 |
|
This document is a resolution by the Board of Directors authorizing officers to manage bank... |
Business dealingsFinancial transactions/money flowLegal matters/litigation |
— |
DB-SDNY-0052553, SDNY GM_00 198737 |
gemini-2.0-flash-001 |
| 20208 |
EFTA01362892.txt |
Resolution of the Board of Directors of Financial Informatics, Inc. |
|
none |
none |
2011-11-01 |
legal filing |
dataset_10 |
|
This document is a resolution of the Board of Directors of Financial Informatics, Inc.,... |
Business dealingsLegal matters/litigation |
— |
DB-SDNY-0052554, SDNY_GM_00198738 |
gemini-2.0-flash-001 |
| 20209 |
EFTA01362893.txt |
SUBSCRIPTION FOR COMMON STOCK |
|
none |
none |
2013-09-20 |
legal filing |
dataset_10 |
|
This document is a subscription agreement for 10,000 shares of common stock in Financial... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052555, SDNY GM_001 98739 |
gemini-2.0-flash-001 |
| 20210 |
EFTA01362894.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a list of entities associated with KCP LATAM and KCP US, including... |
Financial transactions/money flowBusiness dealings |
— |
None |
gemini-2.0-flash-001 |
| 20211 |
EFTA01362895.txt |
GM 2017 Revenues |
Nina Tona |
none |
none |
2017 |
other |
dataset_10 |
|
This document from Nina Tona at Deutsche Bank Wealth Management describes the structure and... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052561 |
gemini-2.0-flash-001 |
| 20212 |
EFTA01362896.txt |
RE: Southern Financial - KYC Docs. [CI |
Oliver Smith |
none |
none |
2018-04-11 |
email |
dataset_10 |
|
This email exchange concerns the KYC documentation requirements for Southern Financial's swaps... |
Financial transactions/money flowCommunications/correspondenceLegal matters/litigation |
Zack Bunimovich, Martin Zema, Nina Tona |
DB-SDNY-0052562
SDNY GM_00108746 |
gemini-2.0-flash-001 |
| 20213 |
EFTA01362897.txt |
RE: GM KCP Bible - Action Plan - Update I KYC Priority List [Ij |
Nina Tona |
none |
none |
2018-03-13 |
email |
dataset_10 |
|
Nina Tona is coordinating with Xavier Avila and others to finalize the KYC/NCA priorities list... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Davide-A Sferrazza, Alastair Mackinlay, an... |
DB-SDNY-0052569
SDNY_GM_00198753 |
gemini-2.0-flash-001 |
| 20214 |
EFTA01362898.txt |
RE: GM KCP Bible - Action Plan - Update I [I] |
Nina Tona |
none |
none |
2018-03-02 |
email |
dataset_10 |
|
The email is an update on the action plan for the GM KCP Bible, outlining the top priorities for... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Davide-A Sferrazza, Joshua Shosha |
DB-SDNY-0052573
SDNY_GM_00198757 |
gemini-2.0-flash-001 |
| 20215 |
EFTA01362899.txt |
LATAM LDC |
|
none |
none |
None |
other |
dataset_10 |
|
The document is a list of entities and individuals associated with LATAM and KCP. It includes a... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052574, SDNY_GM_00198758 |
gemini-2.0-flash-001 |
| 20216 |
EFTA01362900.txt |
RE: GM KCP Bible - Action Plan - Update I DI |
Xavier Avila |
none |
none |
2018-02-20 |
email |
dataset_10 |
|
This email exchange discusses an update to the 'GM KCP Bible - Action Plan'. Xavier Avila... |
Business dealingsCommunications/correspondence |
Nina Tona, Davide-A Sferrazza |
EFTA01362900 |
gemini-2.0-flash-001 |
| 20217 |
EFTA01362901.txt |
RE: Southern Financial - KYC Docs. ill |
Aiasha Khokhar |
none |
none |
2018-04-19 |
email |
dataset_10 |
|
Aiasha Khokhar clarifies KYC documentation requirements for Southern Financial, emphasizing the... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Zack Bunimovich, Martin Zeman, Nina Tona |
DB-SDNY-0052585 |
gemini-2.0-flash-001 |
| 20218 |
EFTA01362902.txt |
RE: Southern Financial - KYC Docs. (I) |
Zack Bunimovich |
none |
none |
2018-04-19 |
email |
dataset_10 |
|
Zack Bunimovich is seeking assistance from Aiasha Khokhar to answer questions from Southern... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Martin Zema, Nina Tona, Aiasha Khokhar |
DB-SDNY-0052586 |
gemini-2.0-flash-001 |
| 20219 |
EFTA01362903.txt |
Update on Southern Financial |
Anthony Lentini |
none |
none |
None |
other |
dataset_10 |
|
Anthony Lentini provides an update on Southern Financial's review process, stating that it is... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
— |
DB-SDNY-0052588, SDNY_GM_00198772 |
gemini-2.0-flash-001 |
| 20220 |
EFTA01362904.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC ill |
Nicholas Hislop |
none |
none |
2018-05-21 |
email |
dataset_10 |
|
The email chain discusses an issue with a missing GB review date in dbCAR for Southern Financial... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Kareen Johnson |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20221 |
EFTA01362905.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial RC [l) |
Simon Nall |
none |
none |
2018-05-16 |
email |
dataset_10 |
|
This email exchange discusses an extension request and a follow-up on feedback regarding a... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
James Gladwin, Martin Zeman |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20222 |
EFTA01362906.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC |
James Gladwin |
suspicious |
none |
None |
email |
dataset_10 |
|
James Gladwin informs recipients that an extension request has been approved after UK AFC... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Ian Salters, Simon Nall, Jesse-J Cruz, Zack Bunimovich |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20223 |
EFTA01362907.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC |
James Gladwin |
none |
none |
2018-05-11 |
email |
dataset_10 |
|
James Gladwin is assisting UK AFC with a KCP Extension and has spoken with Martin Zeman and... |
Financial transactions/money flowCommunications/correspondenceBusiness dealings |
Martin Zeman, Cruz |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20224 |
EFTA01362908.txt |
RE: Escalation: DNB-1135648 / LKYCGB-160049 / Southern Financial LLC Ill |
Martin Zeman |
suspicious |
none |
2018-05-08 |
email |
dataset_10 |
|
The email discusses compliance concerns regarding an extension for Southern Financial LLC,... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Zack Bunimovich, Cruz |
DNB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20225 |
EFTA01362909.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [II |
Zack Bunimovich |
none |
none |
2018-05-08 |
email |
dataset_10 |
|
This email chain discusses an escalation regarding an extension for Southern Financial LLC. The... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
AMLUK Reviews, Jesse-J Cruz, James Gladwin |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20226 |
EFTA01362910.txt |
RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC |
Jesse-J Cruz |
suspicious |
none |
2018-05-08 |
email |
dataset_10 |
|
This email chain shows an escalation regarding Southern Financial LLC, with Jesse-J Cruz... |
Financial transactions/money flowCommunications/correspondenceLegal matters/litigation |
AMLUK Reviews, amluk compliance, James Gladwin, Helen Ncube |
ONB-1135648 / LKYCGB-160049 |
gemini-2.0-flash-001 |
| 20227 |
EFTA01362911.txt |
Principal Product Extension for Southern Financial, LLC |
Jesse Jay Cruz |
suspicious |
none |
None |
email |
dataset_10 |
|
Jesse Jay Cruz from Deutsche Bank Securities Inc. informs about a principal product extension... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
— |
DB-SDNY-0052596 |
gemini-2.0-flash-001 |
| 20228 |
EFTA01362912.txt |
RE: Updated Harvest Materials III |
Vahe Stepanian |
none |
none |
2018-02-07 |
email |
dataset_10 |
|
This email chain discusses updated materials for the Harvest Collateral Yield Enhancement... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Stewart Oldfield, Martin Zeman |
DB-SDNY-0052597 |
gemini-2.0-flash-001 |
| 20229 |
EFTA01362913.txt |
RE: SF [II [C) |
Zack Bunimovich |
suspicious |
none |
2018-03-13 |
email |
dataset_10 |
|
This email discusses the KYC review process for Southern Financial LLC, highlighting a high-risk... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Martin Zeman, Xavier Avila |
DB-SDNY-0052601 |
gemini-2.0-flash-001 |
| 20230 |
EFTA01362914.txt |
RE: SF [II |
GM ACO |
none |
none |
2018-03-01 |
email |
dataset_10 |
|
Xavier Avila from Deutsche Bank Securities is seeking an update on a client request from GM ACO.... |
Business dealingsCommunications/correspondence |
Xavier Avila, GM ACO, Davide-A Sferrazza, Alastair... |
DB-SDNY-0052607 |
gemini-2.0-flash-001 |
| 20231 |
EFTA01362915.txt |
SF |
Xavier Avila |
suspicious |
possible |
2018-03-01 |
email |
dataset_10 |
|
This email exchange discusses a disagreement regarding the risk assessment ('color') of a... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Iain Macara, Mathew Negus, Nina Tona, Alastair... |
SDNY_GM_001 98792 |
gemini-2.0-flash-001 |
| 20232 |
EFTA01362916.txt |
Nina Tona - Deutsche Bank Wealth Management |
Nina Tona |
none |
none |
None |
other |
dataset_10 |
|
This document is an email signature or business card for Nina Tona, an Associate Business... |
Business dealingsCommunications/correspondence |
— |
DB-SDNY-0052609, SDNY_GM_00198793 |
gemini-2.0-flash-001 |
| 20233 |
EFTA01362917.txt |
RE: SF Ill |
Xavier Avila |
none |
none |
2018-03-05 |
email |
dataset_10 |
|
The email chain discusses the SF Ill case and assigns Zack Bunimovi as the case manager. Xavier... |
Communications/correspondence |
Rita Shtevnbere, Mathew Negus, Jitan Patel, Martin... |
DB-SDNY-0052611 |
gemini-2.0-flash-001 |
| 20234 |
EFTA01362918.txt |
RE: SF [I] |
Rita Shteynberg |
none |
none |
2018-03-02 |
email |
dataset_10 |
|
This email exchange discusses the extension of SF to Credit Derivatives for a client and the... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Mathew Nevus, GM ACO, Xavier Avila |
DB-SDNY-0052612
SIDNY_GM_001 98796 |
gemini-2.0-flash-001 |
| 20235 |
EFTA01362919.txt |
RE: SF [I] |
Xavier Avila |
suspicious |
none |
2018-03-02 |
email |
dataset_10 |
|
This email exchange discusses a high-risk client with KYC deficiencies and internal... |
Business dealingsCommunications/correspondenceLegal matters/litigation |
GM ACO, Man Patel, Nina Tona, Iain Macara, Mathew Negus,... |
DB-SDNY-0052614, SDNY_GM_00198798, EFTA01362919 |
gemini-2.0-flash-001 |
| 20236 |
EFTA01362920.txt |
Key Client Partners (KCP) products, investment ideas and solutions and related matters |
|
none |
none |
None |
other |
dataset_10 |
|
This document outlines the terms and conditions for the presentation of Key Client Partners... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
— |
DB-SDNY-0052617, SDNY_GM_00198801 |
gemini-2.0-flash-001 |
| 20237 |
EFTA01362921.txt |
RE: GM KCP Bible - Action Plan - Update I KYC Priority List [II |
Nina Tona |
none |
none |
2018-03-13 |
email |
dataset_10 |
|
Nina Tona sent an email to Xavier Avila, Davide-A Sferrazza, and Joshua Shosha to update them on... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Davide-A Sferrazza, Joshua Shosha |
1012934358, 1007406812, 1001107167, 1000078659, 1000622835, 1000081408, 1007668198, 1000635214 |
gemini-2.0-flash-001 |
| 20238 |
EFTA01362922.txt |
RE: GM KCP Bible • Action Plan - Update I DJ |
Xavier Avila |
none |
none |
2018-03-12 |
email |
dataset_10 |
|
This email exchange discusses the consolidation of a priority list for KYC remediation and... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona, Davide-A Sferrazza, Alastair Mackinlay,... |
SDNY_GM_00198803 |
gemini-2.0-flash-001 |
| 20239 |
EFTA01362923.txt |
KCP |
Xavier Avila |
none |
none |
2018-02-20 |
other |
dataset_10 |
|
The document is an email from Xavier Avila to Nina Iona, Davide-A Sferrazza, and Alastair... |
Business dealings |
Nina Iona, Davide-A Sferrazza, Alastair Mackinlay |
DB-SDNY-0052623
SDNY_GM_00198807 |
gemini-2.0-flash-001 |
| 20240 |
EFTA01362924.txt |
RE: SF [I] [C] |
Zack Bunimovich |
suspicious |
possible |
None |
email |
dataset_10 |
|
This email provides information and documentation regarding the ownership structure, legal... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Martin Zeman, Xavier Avila |
DB-SDNY-0052630 |
gemini-2.0-flash-001 |
| 20241 |
EFTA01362925.txt |
RE: SF [I] |
Xavier Avila |
none |
none |
2018-03-01 |
email |
dataset_10 |
|
This email exchange discusses the risk assessment of Southern Financial as a client of Deutsche... |
Business dealingsFinancial transactions/money flowCommunications/correspondence |
Xavier Avila, Rita Shte nbe, Man Patel, Nina Tona,... |
DB-SDNY-0052638 |
gemini-2.0-flash-001 |
| 20242 |
EFTA01362926.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document is a disclaimer from Deutsche Bank regarding Key Client Partners (KCP) products... |
Business dealingsCommunications/correspondence |
— |
DB-SDNY-0052639 |
gemini-2.0-flash-001 |
| 20243 |
EFTA01362927.txt |
RE: Southern Financial KYC Docs. (II |
Martin Zerm |
none |
none |
2018-04-18 |
email |
dataset_10 |
|
This email exchange discusses a delay in obtaining KYC documents for Southern Financial due to... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Toneavier, Avila, Liam Osullivan, Davide-A Sferratz |
DB-SDNY-0052640 |
gemini-2.0-flash-001 |
| 20244 |
EFTA01362928.txt |
RE: Southern Financial - KYC Docs. Ill |
Xavier Avila |
none |
none |
2018-04-15 |
email |
dataset_10 |
|
This email chain discusses issues with KYC documentation for Southern Financial and a client's... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Martin Zeman, Liam Osullivan, Nina Tona, A Sferrazza |
DB-SDNY-0052641 |
gemini-2.0-flash-001 |
| 20245 |
EFTA01362929.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a header or footer from a legal document, containing an address and... |
|
— |
DB-SDNY-0052643, SDNY_GM_00198827 |
gemini-2.0-flash-001 |
| 20246 |
EFTA01362930.txt |
None |
Nina Tona |
none |
none |
None |
email |
dataset_10 |
|
This is an email from Nina Tona at Deutsche Bank Wealth Management. It contains standard... |
Business dealingsCommunications/correspondence |
— |
DB-SDNY-0052648 |
gemini-2.0-flash-001 |
| 20247 |
EFTA01362931.txt |
RE: Darren Indyke (I] |
Firdaus Madiar |
suspicious |
none |
2016-07-21 |
email |
dataset_10 |
|
The email from Firdaus Madiar to Ying-A Wang and Cherie Quigley informs them about Darren... |
Financial transactions/money flowCommunications/correspondence |
Ying-A Wang, Cherie Quigley |
DB-SDNY-0052649 |
gemini-2.0-flash-001 |
| 20248 |
EFTA01362932.txt |
FW: Darren Indyke [I] |
Firdaus Madiar |
suspicious |
none |
2016-07-21 |
email |
dataset_10 |
|
Firdaus Madiar emailed Ying-A Wang and Cherie Quigley to inform them that Darren Indyke has not... |
Financial transactions/money flow |
Ying-A Wang, Cherie Quigley |
DB-SDNY-0052650 |
gemini-2.0-flash-001 |
| 20249 |
EFTA01362933.txt |
Check Cashing Information |
Nicole Perskawiec |
suspicious |
possible |
2016-07-20 |
other |
dataset_10 |
|
Nicole Perskawiec from Deutsche Bank reports that Darren Indyke cashed a check for $7,500 from... |
Financial transactions/money flow |
— |
DB-SDNY-0052651, SDNY_GM_00198835 |
gemini-2.0-flash-001 |
| 20250 |
EFTA01362934.txt |
RE: SF [I] |
Monika Valantiejute |
suspicious |
none |
2018-03-02 |
email |
dataset_10 |
|
Monika Valantiejute informs Xavier Avila about the GB adoption location status and KYC... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, GM ACO |
DB-SDNY-0052652 |
gemini-2.0-flash-001 |
| 20251 |
EFTA01362935.txt |
RE: SF II] |
Xavier Avila |
none |
none |
2018-03-01 |
email |
dataset_10 |
|
Xavier Avila is seeking clarification on the internal risk classification (Red/Green) of... |
Business dealingsCommunications/correspondence |
lain Macara, Rita Shteynberg, Jitan Patel, Mathew Negus MM |
None |
gemini-2.0-flash-001 |
| 20252 |
EFTA01362937.txt |
SF |
Nina Tona |
none |
none |
None |
email |
dataset_10 |
|
This is an email from Nina Tona at Deutsche Bank Wealth Management to Xavier Avila, likely... |
Business dealingsCommunications/correspondenceFinancial transactions/money flow |
Xavier Avila |
DB-SDNY-0052668
SDNY_GM_00198852 |
gemini-2.0-flash-001 |
| 20253 |
EFTA01362938.txt |
RE: SF It] |
GM ACO |
none |
none |
2018-03-01 |
email |
dataset_10 |
|
This email exchange discusses a client transaction issue at Deutsche Bank. Xavier Avila is... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
lain Macara, Rita Shteynberg, Jitan Patel, Mathew Negus,... |
DB-SDNY-0052685 |
gemini-2.0-flash-001 |
| 20254 |
EFTA01362939.txt |
The Harvest Advantage |
|
none |
none |
April 2008 |
other |
dataset_10 |
|
This document is a description of The Harvest Advantage, an investment manager founded in 2008... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052691 |
gemini-2.0-flash-001 |
| 20255 |
EFTA01362940.txt |
OVERLAYS SEEK TO MAKE YOUR EXISTING ASSETS WORK HARDER |
|
none |
none |
None |
other |
dataset_10 |
|
This document promotes an overlay strategy for client portfolios, highlighting its benefits such... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052692, SDNY_GM_00198876 |
gemini-2.0-flash-001 |
| 20256 |
EFTA01362941.txt |
CYES ILLUSTRATION ON BALANCED PORTFOLIO |
|
none |
none |
None |
diagram |
dataset_10 |
|
This document is a diagram illustrating the performance of a balanced investment portfolio with... |
Financial transactions/money flow |
— |
SDNY_GM_00198879
DB-SDNY-0052695 |
gemini-2.0-flash-001 |
| 20257 |
EFTA01362942.txt |
Collateral Yield Enhancement |
|
none |
none |
None |
report |
dataset_10 |
|
This document is a fact sheet or diagram related to a "Collateral Yield Enhancement" strategy.... |
Financial transactions/money flow |
— |
DB-SDNY-0052697, SDNY_GM_00198881 |
gemini-2.0-flash-001 |
| 20258 |
EFTA01362943.txt |
EXPERIENCED TEAM |
|
none |
none |
None |
other |
dataset_10 |
|
This document lists the experienced team members of a company, including their names, titles,... |
Employment/staffing |
— |
SDNY_GM_00198882
DB-SDNY-0052698 |
gemini-2.0-flash-001 |
| 20259 |
EFTA01362944.txt |
GLOSSARY - OPTION DEFINITIONS |
|
none |
none |
None |
other |
dataset_10 |
|
This document provides definitions for financial option terms, including Put Option, Call... |
Financial transactions/money flow |
— |
DB-SDNY-0052699
SDNY_GM_00198883 |
gemini-2.0-flash-001 |
| 20260 |
EFTA01362945.txt |
GLOSSARY (CONT.) - METRICS |
|
none |
none |
None |
glossary |
dataset_10 |
|
This document is a glossary defining financial metrics, including Mean Return, Annualized... |
Financial transactions/money flow |
— |
SDNY_GM_00198885
DB-SDNY-0052701 |
gemini-2.0-flash-001 |
| 20261 |
EFTA01362946.txt |
REFERENCE DATA (CYES - SPX - VIX) |
|
none |
none |
None |
other |
dataset_10 |
|
The document presents reference data for CYES, SPX, and VIX, including closing values,... |
Financial transactions/money flow |
— |
DB-SDNY-0052703, SDNY_GM_00 198887 |
gemini-2.0-flash-001 |
| 20262 |
EFTA01362947.txt |
REFERENCE DATA (CYES - SPX - VIX) |
|
none |
none |
None |
report |
dataset_10 |
|
The document is a financial report presenting reference data for CYES, SPX, and VIX. It includes... |
Financial transactions/money flow |
— |
DB-SDNY-0052704
SDNY_GM_00198888 |
gemini-2.0-flash-001 |
| 20263 |
EFTA01362948.txt |
REFERENCE DATA (CYES - SPX - VIX) |
|
none |
none |
None |
other |
dataset_10 |
|
The document presents reference data for CYES, SPX, and VIX, including closing values,... |
Financial transactions/money flow |
— |
SDNY_GM_00198889
DB-SDNY-0052705 |
gemini-2.0-flash-001 |
| 20264 |
EFTA01362949.txt |
GIPS Disclaimers and Other Important Information |
|
none |
none |
None |
report |
dataset_10 |
|
This document is a report from Harvest Volatility Management, LLC, outlining its compliance with... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
SDNY_GM_00198891, DB-SDNY-0052707 |
gemini-2.0-flash-001 |
| 20265 |
EFTA01362950.txt |
ADDITIONAL DISCLAIMERS |
|
none |
none |
None |
other |
dataset_10 |
|
This document contains disclaimers from Harvest Volatility Management LLC regarding investment... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
SDNY_GM_00198893, DB-SDNY-0052709 |
gemini-2.0-flash-001 |
| 20266 |
EFTA01362951.txt |
HARVEST Collateral Yield Enhancement Strategy (CYES) FIRM OVERVIEW |
|
none |
none |
April 2008 |
other |
dataset_10 |
|
This document is an overview of the HARVEST Collateral Yield Enhancement Strategy (CYES), an... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052710
SDNY_GM_00198894 |
gemini-2.0-flash-001 |
| 20267 |
EFTA01362952.txt |
IMPACT OF CYES OVERLAY SIZING ON BALANCED PORTFOLIO |
Harvest Volatility Management, LLC |
none |
none |
04/01/08 |
report |
dataset_10 |
|
This document from Harvest Volatility Management discusses the impact of CYES overlay sizing on... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052711
SONY GM_00108895 |
gemini-2.0-flash-001 |
| 20268 |
EFTA01362953.txt |
RE: Loan docs - can you help direct me please? Ill |
Abhinav Gandhi |
none |
none |
2017-12-14 |
email |
dataset_10 |
|
This email chain discusses providing Southern Financial, an important client of WM KCP Americas,... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Martin Zeman, Liam Osullivan |
DB-SDNY-0052714 |
gemini-2.0-flash-001 |
| 20269 |
EFTA01362954.txt |
Rain Carbon's EU390m TY cov-lite TL |
|
none |
none |
2018-01-15 |
news article |
dataset_10 |
|
This document is a news article detailing Rain Carbon's EU390m TY cov-lite TL, including... |
Financial transactions/money flowBusiness dealings |
— |
DB-SDNY-0052717, SDNY_GM_00198901 |
gemini-2.0-flash-001 |
| 20270 |
EFTA01362955.txt |
KYC violation |
Mash Malhotra |
suspicious |
none |
None |
email |
dataset_10 |
|
The email from Mash Malhotra at Deutsche Bank informs the recipient of a KYC violation due to... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
None |
gemini-2.0-flash-001 |
| 20271 |
EFTA01362956.txt |
dbCAR KYC AFC Escalation - Request ID: |
|
none |
none |
2018-05-16 |
email |
dataset_10 |
|
This email is a system-generated notification that a KYC request for Southern Financial, LLC has... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
|
gemini-2.0-flash-001 |
| 20272 |
EFTA01362957.txt |
RE: GM KCP Bible - Action Plan - Update I Vulcan [I) |
Nina Tona |
none |
none |
2018-03-15 |
email |
dataset_10 |
|
Nina Tona sent an email to Xavier Avila providing a financial update on Vulcan Capital... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Martin Zeman, Oavide-A Sferrazza, Alastair... |
SDNY_GM_00198905 |
gemini-2.0-flash-001 |
| 20273 |
EFTA01362958.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a list of entities and individuals associated with KCP LATAM and KCP... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052725 |
gemini-2.0-flash-001 |
| 20274 |
EFTA01362959.txt |
RE: GM KCP Bible - Action Plan - Update I DI |
Xavier Avila |
none |
none |
2018-02-20 |
email |
dataset_10 |
|
Xavier Avila responds to Nina Tona's email regarding the 'GM KCP Bible - Action Plan - Update'... |
Business dealingsCommunications/correspondence |
Nina Tona, Davide-A Sferrazza, Alastair Mackinlay |
SDNY_GM_00198910 |
gemini-2.0-flash-001 |
| 20275 |
EFTA01362960.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Xavier Avila |
suspicious |
none |
2018-04-17 |
email |
dataset_10 |
|
This email exchange discusses a KYC breach related to Southern Financial, LLC and the need to... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Akash Malhotra, Jimmy-H Xu, Mathew Ncgus |
DB-SDNY-0052731 |
gemini-2.0-flash-001 |
| 20276 |
EFTA01362961.txt |
RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] |
Mathew Negus |
suspicious |
none |
2018-04-16 |
email |
dataset_10 |
|
This email chain discusses a potential KYC breach related to Southern Financial, LLC. The... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
Xavier Avila, Akash Malhotra, Shawn Staker, Ian Salters,... |
DB-SDNY-0052732 |
gemini-2.0-flash-001 |
| 20277 |
EFTA01362962.txt |
KYC violation for Trade ID: G175714L |
Akash Malhotra |
suspicious |
none |
13/04/2018 |
email |
dataset_10 |
|
This email from Akash Malhotra at CIBOI Global Services informs a recipient about a KYC... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
G175714L |
gemini-2.0-flash-001 |
| 20278 |
EFTA01362963.txt |
Darren, greetings. Here is your fill: |
Joshua Shosha |
none |
none |
2017-09-14 |
email |
dataset_10 |
|
Joshua Shosha from DB Securities Inc sends Martin Zeman trade execution information for QCOM... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Martin Zeman |
None |
gemini-2.0-flash-001 |
| 20279 |
EFTA01362964.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document contains a disclaimer from Deutsche Bank stating that it does not render legal or... |
Legal matters/litigation |
— |
DB-SDNY-0052736 |
gemini-2.0-flash-001 |
| 20280 |
EFTA01362965.txt |
RE: GM KCP Bible - Action Plan - Update I KYC Priority List ill |
Nina Ton |
none |
none |
2018-03-16 |
email |
dataset_10 |
|
Nina Ton is providing an update on the KYC priority list for various clients, including Armory,... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Davide-A Sferrazza, Xavier Avila |
None |
gemini-2.0-flash-001 |
| 20281 |
EFTA01362966.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
This document appears to be a list of entities, possibly related to investments or financial... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052739
SDNY_GM_00198923 |
gemini-2.0-flash-001 |
| 20282 |
EFTA01362967.txt |
Re: GM KCP Bible - Action Plan - Update I KYC Priority List [I] |
Xavier Avila |
none |
none |
2012-03-13 |
email |
dataset_10 |
|
This email discusses updating a KYC priority list to include Kaiser and Somerston. It also... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Nina Tona |
1000227124, 1001261818, 1000589660, 1000335587 |
gemini-2.0-flash-001 |
| 20283 |
EFTA01362968.txt |
RE: GM KCP Bible - Action Plan - Update I KYC Priority List III |
Nina Tona |
none |
none |
2018-03-13 |
email |
dataset_10 |
|
Nina Tona is updating recipients on the KYC/NCA priorities list for GM accounts and requesting... |
Business dealingsCommunications/correspondenceLegal matters/litigation |
Xavier Avila, Mackinlay |
DB-SDNY-0052741, SDNY_GM_00198925 |
gemini-2.0-flash-001 |
| 20284 |
EFTA01362969.txt |
RE: GM KCP Bible - Action Plan - Update I DJ |
Xavier Avila |
none |
none |
2018-03-12 |
email |
dataset_10 |
|
Xavier Avila requests Nina Tona to consolidate a priority list of KYC Remediation/NCA/Extensions... |
Business dealingsCommunications/correspondence |
Nina Tona |
SDNY_GM_00198927 |
gemini-2.0-flash-001 |
| 20285 |
EFTA01362970.txt |
RE: GM KCP Bible - Action Plan - Update I llj |
Nina Tona |
none |
none |
2018-03-02 |
email |
dataset_10 |
|
Nina Tona sent an email to her team requesting prioritization of clients for the NCA process.... |
Financial transactions/money flowBusiness dealingsCommunications/correspondence |
Xavier Avila, Davide-A Sferrazza, Alastair, Mackinla |
DB-SDNY-0052746 |
gemini-2.0-flash-001 |
| 20286 |
EFTA01362971.txt |
None |
|
none |
none |
None |
other |
dataset_10 |
|
The document is a list of entities associated with KCP LATAM and KCP US. It includes various... |
Business dealings |
— |
DB-SDNY-0052747 |
gemini-2.0-flash-001 |
| 20287 |
EFTA01362972.txt |
Live Trade — Davide first shot, then Nina will help |
Nina Tona |
none |
none |
None |
other |
dataset_10 |
|
This document outlines the responsibilities of Davide and Nina Tona regarding Live Trade and GM... |
Business dealingsFinancial transactions/money flow |
— |
DB-SDNY-0052750
SDNY_GM_00198934 |
gemini-2.0-flash-001 |
| 20288 |
EFTA01362973.txt |
Client Data Services |
Anthony Lentini |
none |
none |
None |
other |
dataset_10 |
|
This document provides contact information for Anthony Lentini, who works at Client Data... |
|
— |
DB-SDNY-0052754, SDNY_GM_00198938 |
gemini-2.0-flash-001 |
| 20289 |
EFTA01362974.txt |
Capital Contributions and Membership Units |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document details the capital contributions, transfer of membership units, and capital... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052759 |
gemini-2.0-flash-001 |
| 20290 |
EFTA01362975.txt |
Allocations and Distributions |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document details the rules for capital account decreases, allocations, and distributions... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052760 |
gemini-2.0-flash-001 |
| 20291 |
EFTA01362976.txt |
Distribution upon Liquidation |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document describes the distribution of assets upon the termination of the Company,... |
Financial transactions/money flowLegal matters/litigationBusiness dealings |
— |
DB-SDNY-0052761 |
gemini-2.0-flash-001 |
| 20292 |
EFTA01362977.txt |
Agreement |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document is a legal agreement outlining the terms of a company, including indemnification... |
Legal matters/litigationBusiness dealings |
— |
DB-SDNY-0052762, SDNY_GM_00198946 |
gemini-2.0-flash-001 |
| 20293 |
EFTA01362978.txt |
Operating Agreement |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document is an excerpt from an operating agreement, specifying that it is binding and... |
Legal matters/litigationBusiness dealings |
— |
DB-SDNY-0052763, SDNY_GM_00198947 |
gemini-2.0-flash-001 |
| 20294 |
EFTA01362979.txt |
Articles of Organization |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document outlines the Articles of Organization for Southern Financial, LLC, a limited... |
Business dealingsLegal matters/litigation |
— |
DB-SDNY-0052764, SDNY_GM_00198948 |
gemini-2.0-flash-001 |
| 20295 |
EFTA01362980.txt |
None |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document outlines the formation of a company, specifying its purpose, duration, organizer... |
Business dealingsLegal matters/litigation |
— |
DB-SDNY-0052765 |
gemini-2.0-flash-001 |
| 20296 |
EFTA01362981.txt |
Articles of Organization |
|
none |
none |
None |
legal filing |
dataset_10 |
|
This document outlines the Articles of Organization for a Limited Liability Company,... |
Legal matters/litigation |
— |
DB-SDNY-0052766, SDNY_GM_00198950 |
gemini-2.0-flash-001 |
| 20297 |
EFTA01362982.txt |
Articles of Organization |
|
none |
none |
2013-02-25 |
legal filing |
dataset_10 |
|
This document is the Articles of Organization for a company, signed by Greg I. Ferguson as the... |
Legal matters/litigationBusiness dealings |
— |
DB-SDNY-0052767, SDNY GM_00198951 |
gemini-2.0-flash-001 |
| 20298 |
EFTA01362983.txt |
RESIDENT AGENT FORM - CONSENT OF AGENT FOR SERVICE OF PROCESS |
|
none |
none |
2013-02-25 |
FORM |
dataset_10 |
|
This document is a Resident Agent Form, officially titled 'CONSENT OF AGENT FOR SERVICE OF... |
Legal matters/litigationBusiness dealings |
— |
|
gemini-2.0-flash-001 |
| 20299 |
EFTA01362984.txt |
Certificate of Existence for SOUTHERNF1NANCIAL, LLC. |
Gregory R. Francis, Lieutenant Governor of the Virgin Islands |
none |
none |
2013-06-25 |
Certificate |
dataset_10 |
|
This document is a Certificate of Existence issued by the Lieutenant Governor of the Virgin... |
Business dealings |
— |
DB-SDNY-0052769, SDNY_GM_00198953 |
gemini-2.0-flash-001 |
| 20300 |
EFTA01362985.txt |
CERTIFICATION OF GOOD STANDING |
Denise Johannes, Director, Division of Corporation and Trademarks |
none |
none |
2013-06-25 |
certification |
dataset_10 |
|
This document is a Certification of Good Standing issued by the Virgin Islands Lieutenant... |
Business dealingsLegal matters/litigation |
— |
NVA (A-38(9t |
gemini-2.0-flash-001 |