EFTA01343896.pdf

Deutsche Bank Regional Management • To review, decide / approve, manage in a diligent manner and monitor (a) all Reputational Risk issues reported / escalated by the Units' to the Committee. The senior representative of the Unit / region / country should present as a sponsor2with guest status on Reputational Risk issues relevant to the respective Unit, to the Committee (i) providing complete, accurate and update I current information and arguments (ex ante), Reputational Risk issues (i) impacting a single Region to the respective RRRC and Reputational Risk issues impacting multiple Regions / global risks to the RRRC in the region where any reputational damage is likely to be the most severe (Primary RRRC) and notified to the RRRC(s) of any other regions which may be impacted for additional input as required (Secondary RRRCs).Only the respective RRRC and, in case of multiple regions impacted, the Primary RRRC may escalate to the Delegating Person (ii) informing the Committee of changes in the key terms and conditions of the issue (e.g. trades, transactions) subsequent to its approval and (iii) confirming that the issue was executed in line with the issue as described to and approved by the Committee (ex post). The Reputational Risk issues and requirements, upon which the decision has been / is conditioned, have to be submitted to the Committee, as appropriate. • To manage the process where reported / escalated Reputational Risk issue has been identified as impacting more than one region and the Committee has been identified as the Primary Reputational Risk Committee ("RRRC"). The Primary RRRC is responsible for liaising with the Secondary RRRC(s) in order to incorporate their feedback into the decision making process3 • To provide guidance on regional / group-wide reputational risk matters including the communication of sensitive topics to the appropriate levels of DB Group, as considered appropriate • To take into account that Deutsche Bank's Values & Beliefs have been considered. (ii) Monitoring and control authorities: • To request, review and control the Reputational Risk reports submitted by the Units to the Committee • To monitor and control the submission of periodic regional Reputational Risk reports to the Delegating Person • To monitor and control the complete confirmations of the issues approved by the Committee (ex post) • To monitor and control any changes which are brought to the attention of the Committee in the key terms and conditions of issues (e.g. trades, transactions) subsequent to its approval or any other updated / new information • To monitor and control the satisfaction of all outstanding matters / requirements upon which the decision is conditioned, including the evidence and the submission of necessary documentation by the Units and respective sponsors to the Committee (e.g. conditions imposed by the Committee) subsequent to the Committee decision; the Committee has to confirm adherence to the outstanding matters and conditions Error! Unknown document property name. Page 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0028848 CONFIDENTIAL SDNY_GM_00175032 EFTA01343896