Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 2256 Jacksonville, USA From: Rodrigo Quintero Sent: Friday, June 09, 2017 1:49 PM To: Sheffali Weld • Patrick Harri Cc: Emily Craig Daphne Cales Janice Franklin >; Armen Brash Subject: RE: KYC HR Clients Remediation - a us Classification: For internal use only 1. Overdue 296 (details below) U of Clients 2017 KYC Case Status by Teams MAR APR MAY Total USO 61 97 48 206 Not Yet Started 47 15 23 85 1. In Progress 8 78 23 109 3. Ready for Office Dir Approval/SMTH 1 2 3 5. Ready for Compliance Approval 1 1 Rejected (with Front Office) 4 4 8 LatAm 39 16 22 77 Not Yet Started 2 1 3 6 1. In Progress 32 11 17 60 2. Ready for Primary Officer Approval 3 3 3. Ready for Office Dir Approval/SMTH 1 1 2 4. Ready for AML & Bus. Risk Approval 3 3 5. Ready for Compliance Approval 1 1 Rejected (with Front Office) 1 1 2 MEA-NY 9 2 11 Not Yet Started 9 2 11 GAT 1 1 2 Not Yet Started 1 1 1. In Progress 1 1 Total 110 113 73 296 2. Regarding small relationships, as per email communication, excluding <$5 mm CBV 3. The table below displays the summary of total HR KYCs due per month for 2017. File attached with customer owner break down. Second tab shows only the 249 KYC cases currently waiting Front Office action. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00188434 DB-SDNY-0042250 EFTA01356404