EFTA Document EFTA01359714

To. Cc: Date: Santa: Yang-A Chenidbfdbco Cherie Quigley/die. Ying-A Wang/ills/Rea Christy WolansiciMbldbca Michael Greicheklb/dlico 09/06201411:36 AM Re: Fw 2014 AML KYC Ault [I] Classification: For internal use only Hi Yang: Regarding PB Alerts, Cases, and PCS Alerts, are you able to provide a spreadsheet that reflect all alerts/cases generated as well as a spreadsheet that reflects the ones that were sampled? Please advise. Kind regards, Pradeepta Pradeepta Roy Vice President I Group Audit Deutsche Bank AG, Filiale New York GA•Lcaal Corroliance GRAD. HR. Co-Chairmen PetnitrwirrPeeftrou Yang-A Chen---09/0812014 08:49:08 AM---Classification: For internal use only Hi Rachael. Pradeepta. We do a sampling of a majority of our P From: To: Cc: Date: Subject: Yang-A Chenidbidbcom Rachael Nataleklbidbcon . Pradeepta Roy/db/dbcon . YIng-A VVang/dbldbcora Cherie Quigley/dbidbco 0943EV2014 0649 AM Fw: 2014 AML KYC Audit [I) Wayne SaWdbidbooa CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0047827 CONFIDENTIAL SDNY_GM_00194011 EFTA01359714