From: Kimberly Hart Sent: 12/3/2014 1:56:27 PM To: Melisa Venegas CC: Armen Brash Subject: FW: October 2014 AML/KYC Escalation Reports [I] Attachments: COVERAGE_Domestic_ACU 11.6.xlsx; image001.gif; image002.gif; image003.png; image004.png Classification: For !MOTS use only The updates that Andrea sent to you do not seem to be reflected on the recent report that you just sent out. Is there a reason that the items were not removed? Do you require additional information? ir - Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 I York. NY 10154 Tel. Fax Mobile Email Pairetni. Securities offered through Deutsche Bank Securities Inc. From: Andrea Tapia Sent: Thursday, November 06, 2014 5:29 PM To: Melisa Venegas Cc: Kimberly Hart; Armen Brash Subject: RE: October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only Hi Melissa, In the attached file, please find the list of ACUs that should be taken off the list. Most of these customer's accounts have been closed, two are Brokerage only, two should be transferred to IA, and one has an existing KYC. We are working with the respective Banker teams to resolve the remaining ACU's not included. Please see the corresponding notes in column N and let me know if you have any questions. Kind regards, Andrea Tapia Andrea Tapia Assistant Vice President CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043004 CONFIDENTIAL SDNY_GM_00189188 EFTA01356853