EFTA Document EFTA01372946

Regulation, Compliance and Anti-Financial Crime AFC AML Compliance Officer Wall Street 10 05.2836 New York, NY, USA From: Elenita Escobar Sent: Monday, July 18, 2016 5:19 PM To: Laura Kang Subject: FW: Q1 Sample for AFC Review [I] Hi Laura, We had to manually locate the information from our files and it took longer than expected. Let me know if you have any questions. Regards, Elenita From: Marybeth Nance Sent: Wednesday, July 13, 2016 5:06 PM To: Elenita Escobar Cc: Nick Watkins; Lode Pierce Subject: Q1 Sample for AFC Review [I] Classification: For Intim] use only Hi Elenita, Laura Kang in AFC has requested that we add the following details to our onboarding spreadsheets (attached), so that she may select a randomized sample of EDD cases: • Risk Rating (low, medium, high) • Date Approved • Loan or Advisory Please let me know if you have any questions. Best, Marybeth Marybeth Nance Associate, Operations Officer I Client Onboarding Team Lead I Case Manager Group Wide Client & Data Services I COO Global Markets Operations Deutsche Bank Securities Inc. 5022 Gate Parkway, Suite 400, Jacksonville, FL, 32256 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0066867 CONFIDENTIAL SDNY_GM_002 13051 EFTA01372946