EFTA Document EFTA01356410

Additional Details (Aging by Case Status) Current KYC Case Status (# of Clients)* Aging (days) by TEAMS 0-30 31-60 61.90 90+ Total 1. In Progress (with Daphne's Team) 61 31 23 2 117 3. Ready for Office Dir Approval/SMTH (MD) 2 2 Rejected (with Case creator) 14 1. In Progress (with Daphne's Team) 48 25 9 25 107 2. Ready for Primary Officer Approval (FO) 7 7 3. Ready for Office Dir Approval/SMTH (MD) 1 1 4. Ready for AML & Bus. Risk Approval (ABR) 3 3 Rejected (with Case creator) 3 2 1 6 1. In Progress (with Daphne's Team) 1 1 Total 122 64 40 32 258 Regards, Rodrigo « OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA From: Rodrigo Quintero Sent: Monday, May 22, 2017 9:27 AM To: Patrick Harris Cc: Emily Craig Daphne Cales Subject: RE: KYC HR Clients Remediation - Status III Classification: For Internal use only All, Below is the Monday morning deliverable (as of 5/19/17). Let me know if you have any question. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042256 CONFIDENTIAL SDNY_GM_00188440 EFTA01356410