Subject: FW: October 2014 AML/KYC Escalation Reports [I] From: Kimberly Hart ‹ > Date: Wed, 03 Dec 2014 13:56:27 -0500 To: Melisa Venegas Cc: Armen Brash Classification: For internal 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? fcid:[email protected] Kimberly Hart Managing Director Deutsche Deutsche 345 Park Tel. Fax Mobile Email Bank Trust Company Americas Asset & Wealth Management Avenue, New York, NY 10154 fcid:[email protected] 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, EFTA01399576

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 {cid:[email protected]} Andrea Tapia Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 24th Floor New York, NY Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. fcid:[email protected] From: Kimberly Hart Sent: Wednesday, November To: Andrea Tapia Subject: Fw: October 2014 05, 2014 11:35 AM AML/KYC Escalation Reports [I] EFTA01399577

Classification: For internal use only fcid:[email protected] Kimberly Hart Managing Director Deutsche Deutsche 345 Park Tel. Fax Mobile Email Bank Trust Company Americas Asset & Wealth Management Avenue, New York, NY 10154 {cid:[email protected]} Securities offered through Deutsche Bank Securities Inc Forwarded by Kimberly Hart/db/dbcom on 11/05/2014 11:35 AM {cid:[email protected]} From: {cid:[email protected]} Melisa Venegas/db/dbcom {cid:[email protected]} To: {cid:[email protected]} Andrew Gallivan/db/dbcom@DBAMERICAS, Kimberly Hart/db/dbcom@DBAMERICAS, Michael-J Davis/db/dbcom@DBAMERICAS, Michael S .Jacoby/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Armen Brash/db/dbcom@DBAMERICAS EFTA01399578

{cid:[email protected]} Date: {cid:[email protected]} 11/03/2014 05:30 PM {cid:[email protected]} Subject: {cid:[email protected]} October 2014 AML/KYC Escalation Reports [I] Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue items (the file has several sheets). Please review and address accordingly. Thank you. (See attached file: COVERAGE_Domestic.xlsx)(See attached file: Account Opening - COVERAGE-Domestic.xlsx) Regards, fcid:[email protected] Melisa Venegas Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA EFTA01399579

Tel. Fax Email {cid:[email protected]} EFTA01399580