EFTA Document EFTA01373260

Months Nigh Medical% Law Total Callind CaveSs% bawd a /403 Not Submitted Outstanding with Outstanding as per risk rating CAM JAX-KYC lance Low Medium N Jan 1 10 4 15 15 100.00 0 0 0 0 0 0 0 Feb 9 6 106 121 121 100.00 0 0 0 0 0 0 0 Mar 1 18 152 171 168 98.25 2 0 1 0 3 0 0 Apr 6 23 140 169 161 95.27 7 0 1 0 7 0 1 May 3 6 87 96 73 76,O4 11 3 7 2 19 3 I Sun 3 19 112 134 23 17.16 47 57 7 0 91 17 3 Jul 6 38 66 110 9 8.18 86 14 1 0 63 33 5 Aug 5 8 54 67 4 5.97 60 3 0 0 51 7 S Sep 3 12 49 64 9 14.06 55 0 0 0 41 11 3 Oct 4 23 44 71 12 16.90 58 1 0 0 39 16 4 Nov 3 17 12 32 5 15.63 26 0 1 0 9 15 3 Dec 2 29 14 45 1 2.22 44 0 0 0 13 29 2 Total 46 209 840 1095 601 54.89% 396 78 18 2 336 131 27 Note : 1. In the above mentioned list, outstanding as per risk rating is a combination of 'Outstanding with' and 'Not Submitted'. Ageing of cases (Jan 2nd — May 15th) Outstanding with COB, Business and AFC: DeAM Aging in days per last action 0-15 16-30 31.8) 61-90 91-120 121 =< Total CAM 1 0 0 0 0 0 1 JAX-KYC 1 3 1 0 0 0 5 Compliance (AFC) 0 0 0 0 0 0 0 Event Driven Review cases (Jan 2nd — May 151, which are pending with COB, Business and AFC. FOR-2019 Month Not submitted Overdue Pending Completion-Risk wise CAM JAX-KYC Compliance High Medium Low Completed Ian 1 0 3 0 0 0 0 1 _ Total 1 0 3 0 0 0 0 1 1 Regards, Rajesh Kumar Associate - AM KYC ND Global Services Pvt. Ltd. Pune Business Bay, Wing 2, Tower A, Off Airport Road, Yerwada, Maharashtra, Pune —411006 Visit us: httpl/www.dws.com CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067348 CONFIDENTIAL SDNY_GM_002 13532 EFTA01373260