From: Melisa Venegas pagougam. Sent: 5/4/2016 3:26:05 PM To: Armen Brash Andrew Galliva Michael S Jacoby Lee Rutter Mark LaRoe CC: Vaishali-P Meht. Subject: May 2016 AML/KYC Escalation Reports III Attachments: US_Onshore.xlsx Classification: For N

From: Melisa Venegas Sent • 3/3/2016 4:50:43 PM To: Armen Brash Andrew GalIlya Michael S Jacoby Lee Nutter Mark LaRoe CC: Vaishali-P Mehta Subject: Mar 2016 AML/KYC Escalation Reports (II Attachments: C0VERAGE_DomesticAlsz Classification

From: Melisa Venegas Sent: 12/3/2014 11:13:36 AM To: Andrew Gallivan ; Kimberl Hart ; Michael-1 Davis I; Michael S Jacoby I I CC: Armen Brash Subject: November 2014 AML/KYC Escalation Reports ill Attachments: COVERAGE_Domestic.xlsx; Acct Opening - COVERAGE-Domestic

From: Melisa Venegas Sent: 4/6/2016 12:22:14 PM To: Armen Brash Andrew Gallivan ; Michael S Jacoby ; Mark LaRoe CC: Vaishali-P Mehta Subject: Apr 2016 AML/KYC Escalation Reports III Attachments: US Onshore.xlsx Classification: For Internal u

TD Original Appointment From: Patrick Campion Sent: Dienstag, 10. Juli 2018 10:28 To: Patrick Campion; Thomas Klemm; Susanne Sipek; Lee Hutter; Michael S Jacoby; Andrew Gallivan; Steven Mattus; Thomas Clarke; Daniel-E Kaiser; Sheffali Welch; Dana Ponzio; Claudineia Federovsky; Ana-M Guzman; Ailsa Briede; Ma

To: Kimberly Hart Zia Memon Erin O-Rourke 1; Una M Arias • Andrew Gallivan I I; Mary C Keaveney ; Charles Hoffarth [ Michael-1 Davis [- -J; Michael S Jacoby I I; Charlie Burrows CC: Daphne Cales [ J; Santa Me ma ; Irina Yablochni Armen Brash ; Diana Canter Subject: Monthly Annual Client Update R

From: Melisa Venegas Sent: 5/4/2015 1:01:24 PM To: Andrew Gallivan ; Kimberly Hart ; Michael-1 Davis Michael S Jacoby CC: Armen Brash Subject: April 2015 AML/KYC Escalation Reports Ill Attachments: COVERAGE_Domestic.xlsx Classification: For Internal Use only A

From: Melisa Sent: 8/3/2016 4:25:01 PM To: Armen Brash Andrew Gallivan ; Michael S Jacoby ; Mark laRoe CC: Vaishali-P Mehta Subject: July 2016 AML/KYC Escalation Reports III Attachments: US_Onshore.xlsx Classification: For Internal

elisa Venegas [email protected]] Sent: 1/6/2016 11:10:15 AM To: Armen Brash ([email protected]); Andrew Gallivan [[email protected]]; Michael S Jacoby [email protected]; lee Hutter [email protected]; Mark LaRoe [email protected] CC: Vaishali-P Mehta [[email protected]] Subject

posompassi Subject: Aug 2016 AML/KYC Escalation Reports II) Attachments: US_Onshore.xlsx Classification: For Internal use only All, Mark LaRoe Michael S Jacoby Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w

PM To: Kimberly Hart Lina M Arias CC: I; Zia Memon ; Andrew Gallivan • Charles Hoffarth Erin O-Rourke ; Mary C Keaveney ; Michael-J Davis Michael S Jacoby [email protected] Charlie Burrows Daphne Gales I Josh Rosen Salta Medina Irina Yablochnik Ankur Shah I I • Janice Franklin ; Armen Bra

14 4:40:18 PM To: Andrew Gallivan Daphne Cales ; Charles Hoffarth ; Irina Yablochnik ; Kimberly Hart [email protected]; Mary C Keaveney Michael S Jacoby ; Ankur Shah ; Diana Canter ; Sarita Medina ; Armen Brash ; Charlie Burrows ; Erin O-Rourke ; Janice Franklin ; Lina M Arias I; Michael-1 Da

shali-P Mehta Subject: Feb 2016 AML/KYC Escalation Reports [I] Attachments: COVERAGE_Domestic.xlsx Classification: For Internal Use only All, ; Michael S Jacoby Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. Regard

Subject: Nov 2015 AML/KYC Escalation Reports II] Attachments: COVERAGE_Domestic.xlsx Classification: For internal use only All, I; Mark LaRoe Michael S Jacoby Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. Regard

From: Melisa Venegas Sent: 12/2/2015 11:40:25 AM To: Armen Brash ndrew Galliva Michael S Jacoby Lee Hutter CC: Vaishali-P Mehta Subject: Dec 2015 AML/KYC Escalation Reports (I] Attachments: COVERAGE_Domestic.xlsx Classification: For Inter

From: Melisa Venegas Sent: 5/6/2014 1:34:02 PM To: Andrew Gallivan Kimberly Hart ; Michael-1 Davis I ; Michael S Jacoby I CC: Armen Brash Subject: April 2014 AML/KYC Escalation Reports Attachments: Domestic Coverage_HRIP Meeting Report_Apr 2014.xlsx; Domestic Cove

you get an idea of when our high risk will clear? From: Melisa Venegas Sent: Wednesday, April 06, 2016 12:22 PM To: Armen Brash; Andrew Gallivan; Michael S Jacoby; Lee Hater; Mark LaRoe Cc: Vaishali-P Mehta Subject: Apr 2016 AML/KYC Escalation Reports [I] Classification: For Internal use only Classification

From: Thomas Klemm j Sent: 10/11/2018 9:04:47 AM To: Patrick Camion l; Feli e Godard ; Andrew Gallivan I; Michael S Jacoby ; Israel Velasquez CC: Emily Craig I I; Daphne Cales Subject: KYC - accelerating client outreach Attachments: 20181009_GCISJor_Escalationjor_Em

rough Deutsche Bank Securities Inc. From: Melisa Venegas Sent: Monday, March 02, 2015 4:36 PM To: Andrew Gallivan; Kimberly Hart; Michael-3 Davis; Michael S Jacoby Cc: Armen Brash Subject: February 2015 AML/KYC Escalation Reports [I] Classification: For internal use only All, Included below is the monthly A

rough Deutsche Bank Securities Inc. From: Melisa Venegas Sent: Monday, March 02, 2015 4:36 PM To: Andrew Gallivan; Kimberly Hart; Michael-3 Davis; Michael S Jacoby Cc: Armen Brash Subject: February 2015 AML/KYC Escalation Reports [I] Classification: For Internal use only All, Included below is the monthly A