EFTA01356416.pdf

Summary KYC Update 1 2 3 4 5 6 7 8 9 10 Step U SOURCE DT DT DT DT DT DT N/A N/A N/A DBF f% Review Create Attach Review Request Submit Request Due KYC Create KYC Checklist Review Info Due to Additional Diligence Attest to Su Update KYC Update & Docs KYC and Diligence Front Documents Results Completeness to Steps Checklist in to KYC Checklist Docs profile Office (if needed) (address System case hits) Owner Total in Scope 1,217 1,217 1,217 1,217 1,217 1,217 1,217 1,217 1,217 1,217 1, (Clients)* U Completed 110 107 102 101 101 98 48 48 (Clients) Remaining 1,107 1,110 1,115 1,116 1,116 1,119 1,169 1,169 1, (Clients) 9.04% 8.79% 8.38% 8.30% 8.30% 8.05% n/a 3.94% 3.94% Completed Daphne's • Initial In-Scope population 1319. However, some items have been determined out-of- Team = DT scope during review. Front Office FO DB Force = DBF Week over week « OLE Object: Picture (Device Independent Bitmap) » Regards, Rodrigo « OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042262 CONFIDENTIAL SDNY_GM_00188446 EFTA01356416