EFTA01394930.pdf

Deutsche Bank Wealth Management IWP weekly onboarding tracker - Week ending 15th February'19 0 EFTA01394930 IWP Onboarding Tracker Weekly Onboarding Tracking Update Onboarding Pipeline Successfully Onboarded WM CIB WM CIB 1. Vellar High 4 6 2. Murray 1. Parkwood LLC 3. Map Investco 2. Simon Charitable Private LLC 4. Grupo Laboratorios Imperiales 3. Petrus Asset Management Company Pharma SA de CV (2 accounts) 4. Penn Capital Management Company, INC. Medium 3 5 5. Alden Global Capital LLC 6. Black Maple Capital Management LP 7. Petrus Yield Opportunity Fund 8. Simon Marketable L.P. Low 5 S Total i i 11 19 r NCA Extension Refresh i i Rernediation Onboarded Total 12 4 0 2 i i 6 Deutsche Bank EFTA01394931  IWP Onboarding Tracker Weekly Onboarding Tracking Update High Priority Cases CIB 1. Awaiting updated W8from client. Inversiones Alabama Umitada 1/12/2017 2/15/2019 764 Client;AFC Martin Zeman 2. Provided name clarification to AFC, pending final approval from AFC. Deprince, Race &Zollo 12/24/2018 3/15/2019 51 Client Martin Zeman Pending with G.K as of 1.16.19 client has not responded Black Maple Capital Partners 2/8/2019 3/15/2019 7 Client Alan Brody List of NCA requirements have been sent to client 2.8.2019, awaiting client response Lynrock Lake 2/13/2019 2/28/2019 2 IWP Alan Brody COB sent list of requirements 2.15.2019. IWP reviewing prior to sending to client DA Capital LLC 2/13/2019 3/15/2019 2 Client;IWP Alan Brody COB sent list of requirements 2.15.2019. IWP reviewing prior to sending with dient. Need list from COB. Sent ask 2.13.19. Need to specify extension product, but just refresh for now. DA Capital LLC=Investment Manager Staple Street Global Opportunities (Master) L.P 2/13/2019 3/15/2019 2 COB Alan Brody W De Argentina Inversiones S.A 2/13/2019 3/15/2019 2 COB Billy Obregon Need to remediate. Need list from COB. Sent ask 2.13.19 WM WM KYC completed 02.13.2019. NAO Brokerage documents are with IWP. Incomplete Jon Gruber 12/15/2018 2/28/2019 62 IWP;Banker;Client Alan Brody documents have been sent to banking team 2.15.2019 DB Documents and SOW narrative received from client 01/31/2019. Incomplete, will be reviewed and we will go back to dient. KYC completed 2.7.2019 NAO case has been 1.2 Capital 1/1/2019 2/28/2019 45 IWP Joshua Shoshan submitted. Documents under review by BSO 2/15 DB Documents and SOW narrative received from client 01.31.2019. Incomplete, will be reviewed and we will go back to dient. KYC completed 2.7.2019. NAO case has been submitted. Documents under review by BSO 2.15.2019 Oasis Capital 1/1/2019 2/28/2019 45 IWP Joshua Shoshan Banking team reaching out to client to obtain KYC on-boarding David Hamamoto 2/14/2019 2/22/2019 1 Client Joshua Shoshan information/documentation. Deutsche Bank EFTA01394932