EFTA01356406.pdf

« OLE Object: Picture (Device Independent Bitmap) » Sheffali Welch Chief Operating Officer, Wealth Management Americas Deutsche Bank Trust Company Americas wY NY, USA From: Rodrigo Quintero Sent: Monday, June 05, 2017 9:12 AM To: Patrick Harris Cc: Emily Craig ; Daphne Cale ; Sheffali Welch Janice Franklin Subject: RE: KYC HR Clients Remediation -Status Classification: For Internal use only All, Below is the Monday morning deliverable (as of 6/02/17). Let me know if you have any question. I want to point out Daphne and I noticed an issue with the number of out of scope reported previously due to an manual error, numbers have been corrected. SUMMARY Create Attach Submit Review Request KYC Create KYC Checklist to Obtain Obtain Info Due FO Attest to Obtain MR Update KYC Update & Docs Front MD AFC and Diligence Completeness Approval"' Steps Checklist in to KYC Office Approval Approval Docs profile System case (FO) Owner DT DT DT DT DT DT FO FO FO FO Total In Scope 948 948 948 948 948 948 948 948 948 948 (Clients)* ff Completed 282 360 368 344 329 309 115 92 4 68 (Clients)" Remaining 666 588 580 604 619 639 833 856 944 880 (Clients) 29.75% 37.97% 38.82% 36.29% 34.70% 32.59% 12.13% 9.70% 0.42% 7.17% Completed CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042252 CONFIDENTIAL SDNY_GM_00188436 EFTA01356406