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sd-10-EFTA01356412Dept. of JusticeOther

EFTA Document EFTA01356412

N/A 6. Approved N/A 1. In Progress Grand Total 59 19 1 987 1 211 " Does not includes KYC cases closed or deemed inactive after submitted to Front Office. Week over week « OLE Object: Picture (Device Independent Bitmap) » 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

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Dept. of Justice
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sd-10-EFTA01356412
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N/A 6. Approved N/A 1. In Progress Grand Total 59 19 1 987 1 211 " Does not includes KYC cases closed or deemed inactive after submitted to Front Office. Week over week « OLE Object: Picture (Device Independent Bitmap) » 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

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
N/A 6. Approved N/A 1. In Progress Grand Total 59 19 1 987 1 211 " Does not includes KYC cases closed or deemed inactive after submitted to Front Office. Week over week « OLE Object: Picture (Device Independent Bitmap) » 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 15, 2017 10:31 AM To: Patrick Harris Cc: Emily Craig • Daphne Cales Subject: RE: KYC HR Clients Remediation - Status DJ Classification: For Internal use only All, Below is the Monday morning deliverable (as of 5/15/17). Summary SOURCE KYC Update Steps Owner 1 121 60 1 19 1 1319 DT DT DT DT DT DT DBF DBF DBF DBF Create Attach Review Request Submit Create KYC Checklist Obtain Obtain Info Due to Attest to Obtain ABR KYC Info & Docs MD AFC and Diligence Front Completeness Approval*** Checklist Docs profile Office in to KYC Approval Approval System case DT DT DT DT DT DT FO FO FO FO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042258 SDNY_GM_00188442 EFTA01356412

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