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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

From: Rodrigo Quintero Sent: Friday, September 15, 2017 10:17 AM To: Patrick Harris c ri> Cc: Emily Craig •: .; Daphne Cales >; Adrienne Bull SS Subject: KYC HR Client

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

Regards, Rodrigo -11 Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway. Suite 400. 32256 Jacksonville. USA From: Rodrigo

Remaining (Clients) 945 41.26% 14.08% 12.23% % Completed 8.25% • Initial pop 1,319. Items may be determined out-of-scope during review. DT: Daphne's Team FO: Front Office Details High Risk Remediation Data USO LatAm MEA-NY GAT Initial In Scope Clients 821 417 61 20 Out-of-Scope Iden

Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA Tel. +1 (904)

.30% 8.05% n/a 3.94% 3.94% Completed • Initial In-Scope population 1319. However, some items have been determined out-of- scope during review. Daphne's Team = DT Front Office FO DB Force = DBF Week over week « OLE Object: Picture (Device Independent Bitmap) » Regards, Rodrigo « OLE Object

= DBF Week over week « OLE Object: Picture (Device Independent Bitmap) » Regards, Rodrigo « OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042262 CONFIDENTIAL SDNY_GM_00188446 EF

Completed (Clients)" Remaining (Clients) Completed DT: Daphne's Team FO: front Office DBF: DB Force 130 127 122 115 114 116 45 36 3 24 1,082 1,085 1,090 1,097 1,098 1,096 1,167 1,176 1,20

2017. Week over Week cc OLE Object: Picture (Device Independent Bitmap) » Regards, Rodrigo cc OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkes Suite 400, 32256 Jacksonville, USA From: Rodrigo

ion: For Internal use only All, Below is the Monday morning deliverable (as of 6/02/17). Let me know if you have any question. I want to point out Daphne and I noticed an issue with the number of out of scope reported previously due to an manual error, numbers have been corrected. SUMMARY KYC Updat

Independent Bitmap) » Sheffali Welch Chief Operating Officer, Wealth Management Americas Deutsche Bank Trust Company Americas w Y NY, USA From: Rodrigo Quintero Sent: Monday, June 05, 2017 9:12 AM To: Patrick Harris Janice Franklin Subject: RE: KYC HR Clients Remediation -Status ; Daphne Cale ; Sheffali

Total In Scope (Clients)* It Completed (Clients)** Remaining (Clients) Completed DT: Daphne's Team FO: Front Office DBF: DB Force 1,205 1,205 1,205 1,205 1,205 1,205 1,205 1,205 1,205 1,205 190 240 241 207 198 172 72 6

Bitmap) » I will be reviewing these number in detail for any inconsistency. Regards, Rodrigo « OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway Suite 400 32256 Jacksonville, USA From: Rodrigo Q

fali on status of small accounts 5) Rodrigo to work on in scope client list, highlighting CRP exit clients, small accounts based on band, work with Daphne based on her tracker. 6) Daphne to send Tracker to Rodrigo COB every Thursday, Rodrigo to provide updated full tracker to Pat and Emily every Monda

>; Daphne Cales < Subject: RE: KYC HR Sync Up - Resources and Mercury [I] Classification: For Internal use only Thank you for your time today! >; Rodrigo Quintero I captured the following actions: 1) Emily to work with Zia on need for any resources for KYC SME team. 2) Pat to reach out to Armen on resource i