From: Melisa Venegas
Sent: 6/3/2016 10:15:00 AM
To: Armen Brash Andrew Gallivan • Michael 5 Jacoby
; Mark LaRoe
CC: Vaishali-P Mehta
Subject: RE: June 2016 AML/KYC Escalation Reports ll]
Attachments: US_Onshore.xlsx
Classification: For Internal use only
File attached.
Melisa Venegas
Deutsche Bank Wealth Management 160 Wail Street 10005-2836 New York, NY, USA
Tel.: -I Email
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 2 7 10*
Moderate 2 27 29s
Low 1 11 12s
• some are pending AML Compliance's review
Overdue Temporary Exceptions
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total
High 3 14 1 18
Moderate 4 1 1 6
Low 4 4
Overdue High Risk in Person Meetings 26
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042313
CONFIDENTIAL SDNY_GM_00188497
EFTA01356450