Gallivan Karen Cohen ; Janet Morales ; Felipe Godard ; Sven-Otto Westphalen Nicholas Allen <Mi lliSndrew ; Adrienne Bull <II Subject: KYC HR Clients Remediation - S

st 11, 2017 4:21 PM To: Patrick Harris < Cc: Emil Crai: < >; Daphne Cales < Brash < Mehta < >; Felipe Godard < Janet Morales < Gallivan < >; Karen Cohen < Subject: KYC HR Clients Remediation - Status (8/11/17) [I] >; Armen ; Janice Franklin >; Sheffali Welch < >; Sven-Otto Westphalen >; Nicholas

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anklin >; Armen Bras >; Sheffali Welch < Vaishali-P >; Felipe Godarcl en-Otto Westphalen >; Janet Morales >; Nicholas AllerSorn>; Andrew >; Karen Cohen Subject: KYC HR Clients Remediation - Status (8/25/17) [I] r ?Pitt', " MO *al°. ed = = "4 stoute4 toropt ofticevo; 7r. II 454 tZt I tit

From: Sylvia Escobar Sent: 4/11/2019 5:05:01 PM To: Kimberly Hart CC: Julie Cataudella ; Karen Cohen Subject: SII Closure: MIFID II - Remaining EEA Countries (Excl Germany r UK FM 17/2019 #43 (dbTrack2407699) Attachments: Finding Owner Closure P

re (I] Date: Thursday, April 11, 2019 11:55:35 AM Attachments: ima0e003.pn0 Sylvia Escobar Vice President Deutsche Bank Securities Inc. From: Karen Cohen Sent: Thursday, April 11, 2019 11:42 AM To: Sylvia Escobar <II > Subject: SII Closure [I] Classification: For internal use only Hi Sylvia, I ap

bar Vice President Deutsche Bank Securities Inc. Wealth Management-Americas I South Street. Baltimore, MD21202-3298 Tel: Mobile: Email: From: Karen Cohen Sent: Thursday, April 11 2019 11:42 AM To: Sylvia Escobar Subject: SII Closure [I] Classification: For internal use only Hi Sylvia, I approve c