EFTA Document EFTA01398705

Subject: Oct 2016 AML/KYC Escalation Reports [I] From: Melisa Venegas Date: Thu, 03 Nov 2016 12:22:00 -0400 To: Armen Brash Andrew Gallivan Michael S Jacob Lee Flutter Mark LaRoe < Cc: Vaishali-P Mehta Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 4 4 8 * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 3 5 Moderate 2 1 3 Low 3 1 4 Overdue High Risk in Person Meetings 7 City Coming due 0-30 31-60 61-90 +90 Los Angeles 1 High 1 Miami 3 Mod 1 Low 2 New York 4 2 1 1 15 High 1 1 6 Mod 1 2 1 6 Low 2 3 San Francisco 1 1 2 4 EFTA01398705 High 1 Mod 1 1 2 Low 2 1 Grand Total 5 3 1 6 20 Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212) 250-1493 I Email EFTA01398706