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EFTA Document EFTA01356519EFTA Document EFTA01356521
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sd-10-EFTA01356520Dept. of JusticeOther

EFTA Document EFTA01356520

Securities offered through Deutsche Bank Securities Inc On Dec 3, 2018, at 8:20 AM, Thomas Klemm O> wrote: Maria, Andy, Kim, I am planning to organizationally streamline our Case Manager / ABR set-up towards the 110 blueprint (screenshot below). In a first step that will touch all remediation / RR processes. As part of the global 110 initiative led by Leo, it has already been decided that the "Neutral Control" group can be run under the same leadership as the KYC specialists. This has bee

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Dept. of Justice
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sd-10-EFTA01356520
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Securities offered through Deutsche Bank Securities Inc On Dec 3, 2018, at 8:20 AM, Thomas Klemm O> wrote: Maria, Andy, Kim, I am planning to organizationally streamline our Case Manager / ABR set-up towards the 110 blueprint (screenshot below). In a first step that will touch all remediation / RR processes. As part of the global 110 initiative led by Leo, it has already been decided that the "Neutral Control" group can be run under the same leadership as the KYC specialists. This has bee

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Text extracted via OCR from the original document. May contain errors from the scanning process.
Securities offered through Deutsche Bank Securities Inc On Dec 3, 2018, at 8:20 AM, Thomas Klemm O> wrote: Maria, Andy, Kim, I am planning to organizationally streamline our Case Manager / ABR set-up towards the 110 blueprint (screenshot below). In a first step that will touch all remediation / RR processes. As part of the global 110 initiative led by Leo, it has already been decided that the "Neutral Control" group can be run under the same leadership as the KYC specialists. This has been globally endorsed by Anna, Wolfram, Jane. Today, we run our KYC specialists under Daphne Cates (Head of RCs) and ABR (/Neutral Control) under Business Integrity. The future set-up to be announced probably next week would combine in JAX all Case Managers and ABR into one "KYC specialists function". Mumbai would continue to run a "Case Manager" office. Both teams would be ending up reporting into Emily Craig (Head of KYC) via Yoonsun Chung who will transfer from AFC into the business. I wanted to ensure that you are all on board and please let me know if you have any questions or see the need for discussion. Best, Thomas <image001.png> Kind regards Thomas Klemm <image002.png> Thomas Klemm Global Head of Digital and COO WM Americas Deutsche Bank Wealth Management lhathatit,i1a24: Floor 24. Odic° 2427 345 Park Avamo, New Ynk, NV 10154, l SA dcutcchewealiti corn CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042413 CONFIDENTIAL SDNY_GM_00188597 EFTA01356520

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