EFTA Document EFTA01433337

Subject: RE: AML Risk Assessment - PRIME DATA NEEDED [I] From: Ying-A Wang sz: > Date: Thu, 21 Jan 2016 13:55:26 -0500 To: Wayne Salit Cherie Quigley < Cc: PWM AMLCompliance Classification: For internal use only Wayne, Please see enclosed for final list of PEP accts by 12/31/15. Total number: 514 US accounts: 272 Non — US accts: 242 -Ying From: Wayne Salit Sent: Wednesday, January 20, 2016 8:53 AM To: Ying-A Wang; Cherie Quigley Cc: PWM AMLCompliance Subject: FW: AML Risk Assessment - PRIME DATA NEEDED [I] Importance: High Classification: For internal use only Ying/Cherie: Please run a report (as of 12/31/2015) for the Prime system that will indicate: EFTA01433337 The number of Foreign-PEPs; and The number of Domestic PEPs Kim is also seeking information on the number of "High Risk" Industry Accounts. However, as discussed, there are issues with the quality of the data in this field. If you run this report, make sure to describe the data issues when you provide the information to Kim. Kind Regards, Wayne Salit Deutsche Bank Americas (ph) From: Kimberly Hart Sent: Wednesday, January 20, 2016 7:39 AM To: Wayne Salit Cc: Julie Cataudella; Armen Brash; Vaishali-P Mehta; Janice Franklin Subject: AML Risk Assessment - PRIME DATA NEEDED Importance: High 1. Domestic PEP Accounts 2. Foreign PEP Accounts 3. High Risk Industry Accounts Please provide at your earliest convenience. The due date for our data EFTA01433338 submission is Friday. Thanks in advance, Kim fhttps://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gifl Kimberly Hart Managing Director I Regional Control Officer AWM Americas Deutsche Investment Management Americas Inc. Deutsche Asset & Wealth Management 60 Wall Street, 27th Floor, New York, NY 10005 Tel. Fax Mobile Email fhttps://brandportal.intranet.db.com/img/modules/claim_en_rgb.gifl Securities offered through Deutsche Bank Securities Inc. EFTA01433339