EFTA Document EFTA01356415

Completed (Clients)" Remaining (Clients) Completed DT: Daphne's Team FO: front Office DBF: DB Force 130 127 122 115 114 116 45 36 3 24 1,082 1,085 1,090 1,097 1,098 1,096 1,167 1,176 1,209 1,188 10.73% 10.48% 10.07% 9.49% 9.41% 9.57% 3.71% 2.97% 0.25% 1.98% * Out-of-Scope population 107 clients. Some items can be determined out-of-scope during review. ** Any decrease on 'Completed' totals after submission to FO are due to potential rejection/closing of the KYC case. ** ABR was not always part of the High Risk approval flow before May 1st, 2017. Week over Week cc OLE Object: Picture (Device Independent Bitmap) » Regards, Rodrigo cc OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkes Suite 400, 32256 Jacksonville, USA From: Rodrigo Quintero Sent: Monday, May 01, 2017 8:39 AM To: Patrick Harris ,In> Cc: Emily Craig cc Daphne Cates (a Subject: KYC HR Clients Remediation - Status [II Classification: For hand use only All, Below is the Monday morning deliverable (as of 4/28/17 AM). CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042261 CONFIDENTIAL SDNY_GM_00188445 EFTA01356415