Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA Tel. +1 (904) 520.4012 Email rodrioo.ouinterodtdb.com From: Rodrigo Quintero Sent: Monday, June 26 2017 7:47 AM To: Patrick Harris < Cc: Emily Craig 'aphne Cale >; Janice Franklin Brash c: IMMIII Iheffali Vaishali-P Mehta < Subject: KYC HR Clients Remediation - Status (6/23/17) [I) Classification: For Internal use only All. Below is the Monday morning deliverable (as of 6/23/17). Let me know if you have any question. Summa Submitted to Front Office FO Approved MD Approved (FO) Fully Approved Owner DT FO FO N/A 1,030 1,030 1,030 Total In Scope (Clients)* 1,030 425 145 126 # Completed (Clients) 85 605 885 904 # 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 Identified* 120 143 16 1 0 with Banker Team * * 229 89 with Manager Director (MD) 3 9 Total 1,319 l a 318 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042244 SDNY_GM_00188428 EFTA01356398