EFTA01356408

4. Ready for AML & Bus. Risk Approval 3 Rejected (with Front Office) 8 1 GAT 1 1. In Progress 1 Total 125 88 1 3 10 1 1 36 40 289 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 P rkw i 4 32256 Jacksonville, USA From: Rodrigo Quintero Sent: Friday, May 26, 2017 2:20 PM To: Patrick Harris Cc: Emily Craig Daphne Cales Subject: RE: KYC HR Clients Remediation - Status [I] Classification: For Internal use only ; Sheffali Welch All, Below is the Monday morning deliverable (as of 5/26/17). Let me know if you have any question. Summary KYC Update Steps Owner Total In Scope (Clients)* Create KYC Checklist Review Info and Dots Create Attach KYC Checklist Update & Docs in to KYC System case Request Submit Due to Attest to Diligence Front Completeness profile Office 485 485 485 485 485 485 485 Obtain MD Approval 485 Obtain ABR Approval*** 485 Obtain AFC Approval 485 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042254 SDNY_GM_00188438 EFTA01356408