EFTA01356377.pdf

From: Rodrigo Quintero Sent: Friday, September 15, 2017 10:17 AM To: Patrick Harris c ri> Cc: Emily Craig •: .; Daphne Cales n>; Vaishali-P Mehta >; Adrienne Bull SS Subject: KYC HR Clients Remediation - Status (9/08/17) (Revised) [I] Classification: For Internal use only Pat, Based on our conversation, below are the revised numbers for 9/08/17. Summary Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO N/A Total In Scope (Clients)* 1,187 1,147 1,147 1,147 If Completed (Clients) 1,021 404 391 271 tf Remaining (Clients) 166 743 756 876 % Completed 86.02% 35.22% 34.09% la DT: Daphne's Team • Initial pop increased to 1485 due to new AFC HR determinations. Items may be determined out-of-scope during FO: Front Office review. Regards, Rodrigo Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA From: Rodrigo Quintero Sent: Friday, September 08, 2017 12:51. PM anamiguisti> To: Patrick Harris Cc: Emily Craig Daphne Cales >; Janice Franklin 4snpaam>; Armen Brash <a ; Sheffali Welch m>; Vaishali-P CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042223 CONFIDENTIAL SDNY_GM_00188407 EFTA01356377