EFTA Document EFTA01356394

Out-of-Scope Identified* 143 152 18 10 323 312 98 1 7 with Banker Team" 418 4 6 with Manager Director (MD) 10 6 3 with ABR/AFC 9 24 9 1 # of Downgrades (No longer HR) 34 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. `• Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC. Week over week HR Client Remediation Progress • arn i 2,17 •53/.1017 •5'522017 WIV:027 • WZEIZZII is 4.(0:317 • 67:017 • 6:W2.7a • 6'2i/2'.27 • fann27 1171?)2011 • 7nzt2017 Regards, Rodrigo Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkw , Suite 400, 32256 Jacksonville. USA From: Rodrigo Quintero Sent: Monday, Jul 10 2017 8:34 AM To: Patrick Harris Cc: Emily Craig Daphne Cales ; Janice Franklin Armen Brash ea] ech < 1 Vaishali-P CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042240 CONFIDENTIAL SDNY_GM_00188424 EFTA01356394