EFTA01356284

From: Vaishali-P Mehta Sent: Wednesday, November 09, 2016 3:42 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Hello Andrew Could you please approve the below ACUs completed for High Risk Clients for this month? Regards, Vaishali Mehta Head of Anti-Money Lamdering Business Risk Deutsche Bart Wealth Management 101 Suite 2400. San Francisco. CA USA Tel. Mobile •1 Email From: Vaishali-P Mehta Sent: Wednesday, October 26, 2016 1:48 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Dear Andrew, As you know, our procedures require MDs to approve all ACUs completed for High Risk clients each month. Please eview the below ACUs completed and approve them. Annual Annual A15. Client GCIS Client Client Customer Customer Status Customer MD Update: A14. A16. A17. Update: Owner Name Update Number Created ID Description Date Douglas Robertson Andrew Gallivan Atlantix Investment LLC 10/12/2016 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not et read . No changes et. No No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042074 SDNY_GM_00188258 EFTA01356284