Epstein Secrets

ATIONSHIP If we are only 10% approved in June and we're nearly half way through the month (by June le), when do we think we'll be done with Q2? AB: Daphne can you speak with Nick and Vinita on this and revert back Slide 3: None of these should be reporting as overdue, since they are not due yet. AB: C

Kind Regards Adrienne From: Sheffali Welch Sent: Friday, June 08, 2018 4:16 PM To: Adrienne Bull Oliver Esslinger Emily Craig •,1a; Melisa Venegas • IIMIa Daphne Cales Cc: Wayne Salit

NSHIP If we are only 10°/0 approved in June and we're nearly half way through the month (by June 11th), when do we think we'll be done with Q2? AB: Daphne can you speak with Nick and Vinita on this and revert back Slide 3: None of these should be reporting as overdue, since they are not due yet. AB: C

From: Adrienne Bull Sent: 6/8/2018 5:58.11 PM To: Sheffali Welch Oliver Esslinger Emily Craig Melisa Venegas Daphne Cales CC: Wayne Salit Subject: RE: Fabrizio/Jan KYC update Monday (C) Attachments: WM Ame

2, 2017 10:12 AM To: Daphne Cales Stewart Oldfield Cc: Sheffali Welch Subject: RE: KYC Remediation [Ij Classification: For Internal use only Hi Daphne, Thank you so much for the list. After reviewing, I noticed the following entities have been recently KYC'd as of March 2017 (case 01751337): • W

From: Daphne Cales Sent: 6/12/2017 11:48:27 AM To: Cynthia Rodriguez CC: Sheffali Welch Subject: RE: KYC Remediation • Stewart 0ldfield Classification: For Internal use only Munk von Cynthia. 111 make a tune of this. Enjoy the rest

To: Daphne Cates Stewart Oldfield CC: Sheffali Welch INIMPRIPIPPMIt Subject: RE: KYC Remediation (I) Classification: For Internal use only Hi Daphne, Thank you so much for the list. After reviewing, I noticed the following entities have been recently KYC'd as of March 2017 (case 01751337): • W

From: Cynthia Rodriguez Sent: 6/12/2017 10:11:55 AM To: Daphne Cates Stewart Oldfield CC: Sheffali Welch INIMPRIPIPPMIt Subject: RE: KYC Remediation (I) Classification: For Internal use only Hi Daphne, Thank you so much for the list. After reviewing

d numbers for 9/08/17. Summary KYC Update Steps Owner Total In Scope (Clients)* If Completed (Clients) tf Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Regards, Rodrigo Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 G

Friday, September 08, 2017 12:51. PM To: Patrick Harris anamiguisti> Cc: Emily Craig Daphne Cales >; Janice Franklin 4snpaam>; Armen Brash <a ; Sheffali Welch m>; Vaishali-P CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042223 CONFIDENTIAL SDNY_GM_00188407 EFTA01356377

if you have any question. Summary KYC Update Steps Owner Total In Scope (Clients)* Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,200 1,156 1,156 1,156 1,

Cc: Rodrigo Quintero < >; Sheffali Welch < Subject: FW: KYC HR Clients Remediation - Status (9/17/17)111 Which bankers did not submit their assigned quota by Friday? Sent with BlackBerry

if you have any question. Summar KYC Update Steps Owner Total In Scope (Clients)* # Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Details High Risk Remediation Data Initial In Scope Clients ; Vaishali-P Submitted to Front Office FO Approved MD Ap

Monday, July 17 2017 7:27 AM To: Patrick Harri Cc: Emily Craig < e a Daphne Cales 41.1111111111111111111111111k>; Janice Franklin Armen Brash ; Sheffali Welch < Subject: KYC HR Clients Remediation - Status (7/14/17) (I) Classification: For Internal use only All, Below is the Monday morning deliverable (

166 164 31 13 374 # of KYC Cases Approved 51 23 1 75 # of KYC Cases Rejected 13 10 23 # of Downgrades 11 8 19 Averages Days with Daphne's Team 32 64 20 63 45 Days with Front Office 6 6 17 0 IIMM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-004224

Cc: Emily Crai < >; Daphne Cales ; Janice Franklin < >; Armen Brash < ; Sheffali Welch < > Subject: KYC HR Clients Remediation - Status (6/09/17) ill Classification: For Internal use only All, Below is the Monday moming deliverable

Welch Sent: Friday, June 09, 2017 12:38 PM To: Andrew Gallivan Cc: Daphne Cales Subject: RE: KYC List [I] Classification: For internal use only Daphne, Can you please send Andrew a sample or a list of NYC? Andrew - would you like the full file or just a sample? Each banker received their list of u

lull list From: Sheffali Welch Sent: Friday, June 09, 2017 12:38 PM To: Andrew Gallivan Cc: Daphne Cales Subject: RE: KYC List [I] Classification: For internal use only Daphn

10:12 AM To: Daphne Cales < >; Stewart Oldfield < Cc: Sheffali Welch Subject: RE: KYC Remediation [I) Classification: For internal use only Hi Daphne, Thank ou much for the list. After reviewing, I noticed the following entities have been recently KYC'd as of March 2017 (cas ): • Wanek Trust

Poscritn,-ta Peefiat, From: Cynthia Rodriguez Sent: Monday, June 12, 2017 10:12 AM To: Daphne Cales < >; Stewart Oldfield < Cc: Sheffali Welch Subject: RE: KYC Remediation [I) Classification: For internal use only Hi Daphne, Thank ou much for the list. After reviewing, I noticed the fol