EFTA01356398.pdf

Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA Tel. +1 (904) 520.4012 Email rodrioo.ouinterodtdb.com From: Rodrigo Quintero Sent: Monday, June 26 2017 7:47 AM To: Patrick Harris < Cc: Emily Craig 'aphne Cale >; Janice Franklin Brash c: IMMIII Iheffali Vaishali-P Mehta < Subject: KYC HR Clients Remediation - Status (6/23/17) [I) Classification: For Internal use only All. Below is the Monday morning deliverable (as of 6/23/17). Let me know if you have any question. Summa Submitted to Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO N/A Total In Scope (Clients)* 1,030 1,030 1,030 1,030 # Completed (Clients) 425 145 126 85 # Remaining (Clients) 605 885 904 945 % Completed 41.26% 14.08% 12.23% 8.25% DT: Daphne's Team • Initial pop 1,319. Items may be determined out-of-scope during FO: Front Office review. Details High Risk Remediation Data USO LatAm MEA-NY GAT Total InitialIn Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 120 143 16 10 la with Banker Team* * 229 89 318 with Manager Director (MD) 3 9 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042244 CONFIDENTIAL SDNY_GM_00188428 EFTA01356398