EFTA Document EFTA01356406

« OLE Object: Picture (Device Independent Bitmap) » Sheffali Welch Chief Operating Officer, Wealth Management Americas Deutsche Bank Trust Company Americas w Y NY, USA From: Rodrigo Quintero Sent: Monday, June 05, 2017 9:12 AM To: Patrick Harris Janice Franklin Subject: RE: KYC HR Clients Remediation -Status ; Daphne Cale ; Sheffali Welch Cc: Emily Craig Classification: For Internal use only All, Below is the Monday morning deliverable (as of 6/02/17). Let me know if you have any question. I want to point out Daphne and I noticed an issue with the number of out of scope reported previously due to an manual error, numbers have been corrected. SUMMARY KYC Update Steps Create KYC Checklist Review Info and Docs Create KYC Update in System Attach Checklist & Docs to KYC case Request Due Diligence profile Submit to Front Office (FO) FO Attest to Completeness Obtain MD Approval Obtain MR Approval"' Obtain AFC Approval Owner DT DT DT DT DT DT FO FO FO FO Total In Scope 948 948 948 948 948 948 948 948 948 948 (Clients)* ff Completed 282 360 368 344 329 309 115 92 4 68 (Clients)" 666 588 580 604 619 639 833 856 944 880 Remaining (Clients) 29.75% 37.97% 38.82% 36.29% 34.70% 32.59% 12.13% 9.70% 0.42% 7.17% Completed CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042252 CONFIDENTIAL SDNY_GM_00188436 EFTA01356406