EFTA01361432.pdf

Jeepers is sub S investment managing activities, Paul US- various advisory 0075019 Morris Onshore 00000486423 Jeepers, Inc 5/10/2016 investments services Yes No Mort is entity holding shares of private Holds Paul US- company private 0075018 Morris Onshore 00000487266 Mort, Inc 5/10/2016 Jawbone investment No No 0075021 Paul US- 00000486428 The Haze Trust 5/10/2016 Investment No change Yes No Morris Onshore vehicle If this any information is not correct or you are aware of a material change that has not been reflected, please let us know immediately as a KYC update will be required. Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management 60 Wall Street. 27th Floor. 10005-2836 New York. NY. USA Potnitn, Peeption From: Vaishali-P Mehta Sent: Wednesday, May 25, 2016 4:30 PM To: Armen Brash; Una M Arias; Sylvia Junghardt; Daphne Cats; Scott Guest; Dawn Forbes; Amy Horak Cc: zia Memon Subject: MDs Approvals required for ACUs completed for High Risk clients. [I] Classification: For Internal use only Hello All, As you know, the Bank is taking a very close look at the KYC process in each of the business divisions. At the beginning of the year, several control enhancements were rolled out, including ExCo approval for all new high risk account holders. Along these lines, effective immediately, the approval of a Managing Director will be required for all ACUs completed for high risk clients. While we work to implement a workflow within db force, a manual process will begin this month. Each month, I will be sending a list of all ACUs completed for high risk customers to the accountable managing director —in some cases this will be the RM, in some cases this will be the office director. Each accountable managing director will need to review the ACUs completed and reply back with their approval (or rejection, if applicable) ABR will maintain a file of all complete and overdue MD approvals. . The accountable Managing Director will receive an email similar to the one below, including the list of ACUs completed for the client along with the comments contained within the ACU. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050604 CONFIDENTIAL SDNY_GM_00196788 EFTA01361432