EFTA01343870

Americas Region Reputational Risk Committee Policy APPENDIX 3 Reputational Risk Mitigants Deutsche Bank (Proactive measures that allow region to keep risk as low as possible when evaluating transactions) • Current searches of media (print, social) for adverse news • Current legal searches for pending investigations, open subpoenas • Bank conducted or commissioned background checks • Documented understanding of client and DB purpose in the transaction • DB access to or control of collateral • Minimum notional sizes • Minimum leverage • Minimum cumulative transaction value • Exchange-listed securities • Other top-tier financial institutions participating in transaction with DB • Results of KYC/AMUOFAC reviews • Results of NPA/LEC/IRO approval processes • Written operational manuals or desk guides. 13 For internal use only Ed CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0028811 CONFIDENTIAL SDNY_GM_00174995 EFTA01343870