EFTA Document EFTA01399585

Subject: Fw: October 2014 AML/KYC Escalation Reports (I] From: Kimberly Hart < Date: Tue, 04 Nov 2014 09:16:50 -0500 To: Armen Brash < Cc: Classification: For internal use only Armen - Can you call or stop by to discuss HRIP meetings? A bunch of new past due HRIP meetings appeared on the report this month. I do not want these reported to SRC since we were never made aware of these required meetings. If they need to be reported, it should be footnoted that front office was just told of the requirement to meet these customers this month. (Embedded image moved to file: pic13200.gif) Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Deutsche Asset a Wealth Management 345 Park Avenue New York, NY 10154 Tel. Fax Mobile Email (Embedded image moved to file: pic05289.gif) Securities offered through Deutsche Bank Securities Inc. Forwarded by Kimberly Hart/db/dbcom on 11/04/2014 09:13 AM From: 'Melia& venegas/db/dbcom I To: 'Andrew Gallivan/db/dbcom@DBAmERICAS, Kimberly Sart/db/dbcom@ERAmERIcAs, michael-J Davia/db/dbCOM9 DBANERICAS, Michael S JaCOby/db/dbComeDBAMERICAS, I Cc: 'Armen Brash/db/dbcom9DBAMERICAS I Date: '11/03/2014 05:30 PM I Subject: I 'October 2014 AML/KYC Escalation Reports (I] EFTA01399585 Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue items (the file has several sheets). Please review and address accordingly. Thank you. (See attached file: COVERAGE_Domestic.xlsx)(See attached file: Account Opening - COVERAGE-Domestic.xlsx) Regards, (Embedded image moved to file: pic11663.gif) Melisa Venegas Deutsche Bank Trust Company Americas Deutsche Asset 6 Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel. Fax Email (Embedded image moved to file: pic28223.gif) EFTA01399586