Epstein File EFTA01356506: Client and Booking (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01356506: Client and Booking (DS10)

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Internal Deutsche Bank compliance document outlining account management procedures for a client, including provisions allowing continued trading in existing accounts without pre-approval and monitoring requirements for reputational risk. The document addresses booking procedures for account opening in CB&S and AWM divisions.

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client booking Deutsche Bank

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Excerpt 1

The **client** may continue to conduct trades and transactions in existing accounts without Compliance pre-approval, provided that the business has determined

Excerpt 2

In addition, the business will need to monitor for any further developments in connection with the reputational risk of this **client** relationship and to

Excerpt 3

Consistent with this, CB&S may also "open" accounts to facilitate activity as a **booking** matter where the activity has already been approved in AWM. 3.