EFTA01356412.pdf

N/A 59 1 60 6. Approved 1 1 N/A 19 19 1. In Progress 1 1 Grand Total 987 211 121 1319 " Does not includes KYC cases closed or deemed inactive after submitted to Front Office. Week over week « OLE Object: Picture (Device Independent Bitmap) » Regards, Rodrigo « OLE Object: Picture (Device Independent Bitmap) » Rodrigo Quintero Vice President Deutsche Bank Securities Inc Deutsche Bank Wealth Management 5022 Gate Parkway. Suite 400. 32256 Jacksonville. USA From: Rodrigo Quintero Sent: Monday, May 15, 2017 10:31 AM To: Patrick Harris Cc: Emily Craig • Daphne Cales Subject: RE: KYC HR Clients Remediation - Status DJ Classification: For Internal use only All, Below is the Monday morning deliverable (as of 5/15/17). Summary SOURCE DT DT DT DT DT DT DBF DBF DBF DBF Create Attach Review Request Submit KYC Create KYC Checklist Obtain Obtain Info Due to Attest to Obtain ABR Update KYC & Docs MD AFC and Diligence Front Completeness Approval*** Steps Checklist in to KYC Approval Approval Docs profile Office System case Owner DT DT DT DT DT DT FO FO FO FO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042258 CONFIDENTIAL SDNY_GM_00188442 EFTA01356412