EFTA01398752

Subject: May 2016 AML/KYC Escalation Reports [I] From: Melisa Venegas Date: Wed, 04 May 2016 15:26:05 -0400 To: Armen Brash <M I>, Andrew Gallivan a>, Michael S Jacoby >, Lee Flutter Mark LaRoe Cc: Vaishali-P Mehta a> Classification: For internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly Thank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 5 22 29 Low 1 1 10 12 * 28 are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 15 1 18 Moderate 1 1 1 3 Low 1 1 Overdue High Risk in Person Meetings 32 Office 0-30 31-60 61-90 >90 Total Los Angeles 1 1 4 6 High 1 1 Moderate 3 3 Low 1 1 2 New York 1 5 20 26 High 6 6 Moderate 5 10 15 Low 1 4 5 San Francisco 2 15 17 High 1 1 Moderate 2 9 11 Low 5 5 EFTA01398752 Melisa Venegas Deutsche Bank Wealth Management 60 Wall Street, 10005-2836 New York, NY, USA Tel.: +1 (212) 250-1493 I Email EFTA01398753