EFTA Document EFTA01398935

Subject: FW: Apr 2016 AML/KYC Escalation Re orts [I] From: Andrew Gallivan Date: Wed, 06 Apr 2016 12:26:39 -0400 To: Armen Brash <a. Classification: For internal use only Can you get an idea of when our high risk will clear? From: Melisa Venegas Sent: Wednesday, April 06, 2016 12:22 PM To: Armen Brash; Andrew Gallivan; Michael S Jacoby; Lee Flutter; Mark LaRoe Cc: Vaishali-P Mehta Subject: Apr 2016 AML/KYC Escalation Reports [I] Classification: For internal use only Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly Thank you. ACUs w/Mat Changes Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High - - - 7 7 Moderate 2 5 7 15 29 Low - 1 2 10 13 Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 15 - - 1 16 Moderate 1 1 - - 2 Low 2 - - - 2 Overdue High Risk in Person Meetings 25 Melisa Venegas EFTA01398935 Deutsche Bank Wealth Management 160 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212) 250-1493 EFTA01398936