EFTA01356879.pdf

Securities offered through Deutsche Bank Securities Inc. From: Emily Craig Sent: Monday, July 15, 2019 9:51 AM To: Kimberly Hart < Subject: RE: Cases with negative media risk [C] Classification: Confidential Kim, Where is this rep risk chart used? I am not familiar with it? Kind Regards, Emily « OLE Object: Picture (Device Independent Bitmap) » Entity Craig Director Deutsche Bank Wealth Management IX-hitch° Bank Smnines, Inc I South SiNa. Raltnnore. 21.1u2-3L‘iit Mobile: 13 4/'1.1 MiNvun tlII From: Kimberly Hart Sent: Monday, July 15, 2019 9:47 AM To: Emily Craig <->; Thomas Klemm < Subject: RE: Cases with negative media risk [C] Classification: Confidential I had a chance to brainstorm with Wolfram and Michael Off this morning — and their suggestions were very similar to those offered by Emily. 1. Review CAF and Rep Risk decisions for WM Americas client onboardings 2. Review HR clients where "Negative Media" contributed to the high risk rating. How do we review the risk calculations to determine which customers have a risk rating greater than "1" in any of the below Client Reputational Risk categories? « OLE Object: Picture (Device Independent Bitmap) » CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043065 CONFIDENTIAL SDNY_GM_00189249 EFTA01356879