From: Ying-A Wang Sent: 1/21/2016 1:55:26 PM To: Wayne Salit CC: PWM AM1Compliance Subject: RE: AML Risk Assessment - PRIME DATA NEEDED III Attachments: Copy of PEPS Open accounts DEC.31.15.xlsx ; Cherie Quigley Classification: For Internal use only Wayne, Please see enclosed for final list of PEP accts by 12/31/15. Total number: 514 US accounts: 272 Non — US accts: 242 -Ping From: Wayne Salit Sent: Wednesday, January 20, 2016 8:53 AM To: Ying-A Wang; Cherie Quigley Cc: PWM AMLCompliance Subject: FW: AML Risk Assessment - PRIME DATA NEEDED [I] Importance: High Classification: For Internal use only Ying/Cherie: Please run a report (as of 12/31/2015) for the Prime system that will indicate: • The number of Foreign-PEPS; and • The number of Domestic PE Ps Kim is also seeking information on the number of "High Risk" Industry Accounts. However, as discussed, there are issues with the quality of the data in this field. If you run this report, make sure to describe the data issues when you provide the information to Kim. Kind Regards, Wayne Salit Deutsche Bank Americas From: Kimberly Hart Sent: Wednesday, January 20, 2016 7:39 AM To: Wayne Salit Cc: Julie Cataudella; Armen Brash; Vaishali-P Mehta; Janice Franklin Subject: AML Risk Assessment - PRIME DATA NEEDED Importance: High CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0087460 CONFIDENTIAL SDNY_GM_00233644 EFTA01385985