FW: KCP list updated to client perimeter [I]

Hi All,

Thank you for attending the call just now. Key discussion points and actions below — please let me know if there are any questions or feedback.

Attendees:

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CIB: Diane Franklin, Enrique Marrero, Marina Andre, Charlotte, Dan Fox WM: Saleha Bilal, Sonya Hunjan and Tanu Kirti

Key messages:
Deadlines for known sprint population as below:

Sprint 2 - end of April 2019,
Sprint 3 end of May 2019,
ICM - 22nd April 2019

KCP perimeter provided by WM needs to be reviewed by CIB to include in their central perimeter Diane shared the CIB latest procedures during the meeting that WM will further review and revert with any clarifications or questions Relevant process steps related to red file identification and remediation as below:

When the file goes red within CIB, CIB will centrally assess ACOs in other divisions based on divisional client perimeter info. Diane's team provide weekly files off the back of this decision — WM will confirm at this stage whether they want to be the ACO or not

If the file is red across all divisions at this stage, file is sent to clearing house via Marina's team for final opinion from all divisions within 2 weeks. WM to veto here for genuine WM interests and provide outreach template with ACO and client outreach info

CIB Client selection confirm back to WM the acceptance or rejection of WM ACO at this stage

CIB Client selection provide outreach info received at previous step to CLM (Claire Butterworth's team) on a weekly basis

CIB CLM team input WM ACO and outreach info in dbKYCs for remediation. WM ACO and outreach to work in dbKYCs with regional CLM teams

Actions:

CIB to confirm treatment of KCP perimeter

WM to review CIB's process deck and come back with any further questions WM to provide RtB contacts to be involved in clearing house, veto and template provision

Marina to respond the Angela Ng regarding next steps for 5 very important WM cases that are showing red even though remediation was completed in August against v2.1

Best,
Tanu

Hi Sophie,

Can you please confirm that the KCP list shared has been updated on the client perimeter?

Thanks,

Sonya

Sonya Hunjan
PWCC KYC Remediation Programme
Zig Zag Building
Deutsche Wealth Management Limited
70 Victoria Street, SW1E 6SQ London, United Kingdom

Hi Sonya,

Yes all updated you provided in the below file have been loaded into the client perimeter.

Thanks,

Sophie

Sophie Scales
Project Mercury

Deutsche Bank AG, Filiale London

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Global Markets

DEUTSCHE BANK
1st Floor
72 London Wall
EC2N 2DB
Email

FYI Nina, this was the KCP file shared with CIB.

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Thanks,

Sonya

Sonya Hunjan
PWCC KYC Remediation Programme
Zig Zag Building
Deutsche Wealth Management Limited
70 Victoria Street, SW1E 6SQ London, United Kingdom

Classification: For internal use only

Nina Tona

Associate

Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management

Tel.
Email

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Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice.

The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates.

From: Sonya Hunjan Sent: Friday, December 14, 2018 11:03 AM To: Nina Tona Cc: Tanushree Kirti Subject: FW: KCP list updated to client perimeter [I]

FYI Nina, this was the KCP file shared with CIB.

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Thanks,

Sonya

Sonya Hunjan
PWCC KYC Remediation Programme
Zig Zag Building
Deutsche Wealth Management Limited
70 Victoria Street, SW1E 6SQ London, United Kingdom