EFTA Document EFTA01394930

Deutsche Bank Wealth Management IWP weekly onboarding tracker - Week ending 15th February'19 0 EFTA01394930 IWP Onboarding Tracker Weekly Onboarding Tracking Update High Medium Low Onboarding Pipeline WM 4 3 5 Total i i 11 CIB 6 5 S 19 Successfully Onboarded WM 1. Vellar 2. Murray 3. Map Investco 4. Grupo Laboratorios Imperiales Pharma SA de CV (2 accounts) CIB 1. Parkwood LLC 2. Simon Charitable Private LLC 3. Petrus Asset Management Company 4. Penn Capital Management Company, INC. 5. Alden Global Capital LLC 6. Black Maple Capital Management LP 7. Petrus Yield Opportunity Fund 8. Simon Marketable L.P. r Onboarded Total 12 NCA 4 Extension 0 Refresh i i Rernediation 2 i i 6 Deutsche Bank EFTA01394931 IWP Onboarding Tracker Weekly Onboarding Tracking Update High Priority Cases CIB Inversiones Alabama Umitada 1/12/2017 2/15/2019 764 Client;AFC Martin Zeman Deprince, Race &Zollo 12/24/2018 3/15/2019 51 Client Martin Zeman Black Maple Capital Partners 2/8/2019 3/15/2019 7 Client Alan Brody Lynrock Lake 2/13/2019 2/28/2019 2 IWP Alan Brody DA Capital LLC 2/13/2019 3/15/2019 2 Client;IWP Alan Brody Staple Street Global Opportunities (Master) L.P 2/13/2019 3/15/2019 2 COB Alan Brody W De Argentina Inversiones S.A 2/13/2019 3/15/2019 2 COB Billy Obregon WM Jon Gruber 12/15/2018 2/28/2019 62 IWP;Banker;Client Alan Brody 1.2 Capital 1/1/2019 2/28/2019 45 IWP Joshua Shoshan Oasis Capital 1/1/2019 2/28/2019 45 IWP Joshua Shoshan David Hamamoto 2/14/2019 2/22/2019 1 Client Joshua Shoshan 1. Awaiting updated W8from client. 2. Provided name clarification to AFC, pending final approval from AFC. Pending with G.K as of 1.16.19 client has not responded List of NCA requirements have been sent to client 2.8.2019, awaiting client response COB sent list of requirements 2.15.2019. IWP reviewing prior to sending to client COB sent list of requirements 2.15.2019. IWP reviewing prior to sending with dient. Need list from COB. Sent ask 2.13.19. Need to specify extension product, but just refresh for now. DA Capital LLC=Investment Manager Need to remediate. Need list from COB. Sent ask 2.13.19 WM KYC completed 02.13.2019. NAO Brokerage documents are with IWP. Incomplete documents have been sent to banking team 2.15.2019 DB Documents and SOW narrative received from client 01/31/2019. Incomplete, will be reviewed and we will go back to dient. KYC completed 2.7.2019 NAO case has been submitted. Documents under review by BSO 2/15 DB Documents and SOW narrative received from client 01.31.2019. Incomplete, will be reviewed and we will go back to dient. KYC completed 2.7.2019. NAO case has been submitted. Documents under review by BSO 2.15.2019 Banking team reaching out to client to obtain KYC on-boarding information/documentation. Deutsche Bank EFTA01394932