EFTA01356408.pdf

4. Ready for AML & Bus. Risk Approval 3 3 Rejected (with Front Office) 8 1 1 10 GAT 1 1 1. In Progress 1 1 Total 125 88 36 40 289 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. Deutsche Bank Wealth Management P rkw i 4 32256 Jacksonville, USA From: Rodrigo Quintero Sent: Friday, May 26, 2017 2:20 PM To: Patrick Harris Cc: Emily Craig Daphne Cales ; Sheffali Welch Subject: RE: KYC HR Clients Remediation - Status [I] Classification: For Internal use only All, Below is the Monday morning deliverable (as of 5/26/17). Let me know if you have any question. Summary Create Attach Review Request Submit KYC Create KYC Checklist Obtain Obtain Info Due to Attest to Obtain ABR Update KYC Update & Docs MD AFC and Diligence Front Completeness Approval*** Steps Checklist in to KYC Approval Approval Dots profile Office System case Owner Total In Scope 485 485 485 485 485 485 485 485 485 485 (Clients)* CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042254 CONFIDENTIAL SDNY_GM_00188438 EFTA01356408