EFTA01343867.pdf

Americas Region Reputational Risk Committee Policy Deutsche Bank See Section 7 for Risk Appetite. Section 6: Committee Operations 6.1 Agenda A meeting agenda and supporting materials will be distributed to members before each meeting. The agenda will consist of items sourced by the Secretary, in response to requests by the businesses, support groups or members, for a reputational risk review of potential transactions or relationships. The agenda/materials will be maintained by the Secretary. 6.2 Minutes The Secretary will record minutes of each meeting. The secretary will maintain the minutes for review by the committee, auditors and examiners. The secretary will also report all minutes to the Group Reputational Reporting Network on a monthly basis, for aggregation into global trend reports. The minutes will be reviewed and final approved by the Chair of the ARRC. Final minutes, when appended with evidence of closure of conditions of approval, will be approved by the full committee in quarterly meetings. 6.3 Periodic Reports The Secretary will be responsible for creating periodic reports of topics discussed, decisions made and follow-up actions at the Committee's request or for review by auditors and examiners, and for reporting to the North America ExCo. 6.4 Escalation Procedures The ARRC escalates unresolved issues first to the RGB and then if necessary to the North America Executive Committee regionally, and to the Group Reputational Risk Committee globally. In the event that a business line does not agree with the decision of the ARRC, an appeal may be made to the Group Reputational Risk Committee (GRRC) through the RRN. The presentation papers submitted to the ARRC shall be circulated to the RRN by the Committee Secretary for its consideration, together with any additional material that the business line may wish to include. 6.5 Tracking of Open Issues The Secretary shall maintain a list of all decisions taken and any related follow-up actions. The secretary is responsible for following up on open issues and for providing members with timely status reports of open items. 6.6 Submission of Documents A meeting agenda and supporting materials will be distributed to members before each meeting by the Secretary. Minutes and follow-up actions from a meeting will be maintained by the Secretary. Notices of items approved subsequent to a meeting (conditions are fulfilled for a conditionally-approved item) Status reports of action items and open items will be provided periodically but no less than quarterly. 7 For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0028805 CONFIDENTIAL SDNY_GM_00174989 EFTA01343867