EFTA01455984

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efta-01455984

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EFTA Disclosure

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From: on behalf of Sent: To: CC: Subject: Attachments: Ian Hearn [ DeAWM-WM DerivativeDocs [ 10/29/2014 5:00:47 PM Amanda Kirby DeAWM-WM DerivativeDocs I I; Paul Morris Stepanian Re: Fw: Part Two - Dodd Frank Initial Margin Segregation Rule - Client Segregation Election Notice ICI pic28316.gif; pic08920.gif classification: confidential Hi Amanda, thank you for the below. can you advise if you also have the Responsible office document signed for both clients as both forms are required to be compliant. thanks Kind Regards, DeAWM Derivative Documents Team From: To: Amanda Kirby Ian Hearn • tiveDoc , Paul Morri Stepania Date: Subject: Notice [C] 10/29/2014 02:10 PM ;Vahe vahe Fw: Part Two - Dodd Frank Initial Margin Segregation Rule - client segregation Election classification: confidential Ian, Please see attached from the client Best, Amanda Kirby (Embedded image moved to file: pic28316.gif) Amanda Kirby Deutsche Bank Trust Company Americas 1 Te Fax Emai (Embedded image moved to file: n pic08920.gi f) Securities offered through Deut Securities Inc. Forwarded by Amanda Kirby on 10/29/2014 02:09 PM From: Darren Indyke CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0 115026 SDNY_GM_00261210 EFTA01455984

Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01456014

Deutsche Asset & wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. E-Mai : From: Amanda Kirby/db/dbcom To: Ian Hearn/db/dbcom@DBAMERICAS, cc: DeAwM-wM DerivativeDocs/db/dbcomODBAMERIcAs, Paul Morris/db/dbcom@DBAMERICAs, vahe stepanian/db/dbcom@DBAmericas Date: 10/30/2014 09:00 AM Subject: Fw: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - step 1 [C] Classification: confidential Ian, Please see attached Best, Amanda Kirby (Embedded image moved

Dept. of JusticeOtherUnknown

EFTA Document EFTA01471557

Subject: RE: Inquiry regarding Acct# Case # 118954 [I] From: Tammy Mcfadden <=I > Date: Mon, 03 Nov 2014 12:06:56 -0500 To: Amanda Kirby AMLCompliance Inquiries Cc: AMLCompliance Inquiries Paul Morris < Classification: For internal use only Hello Amanda — NEW YORK STRATEGY GROUP, LLC, Thank you for your prompt responses. I appreciate your assistance. Kind regards, Tammy From: Amanda Kirby Sent: Monday, November 03, 2014 11:32 AM To: AMLCompliance Inquiries Cc: AMLCompliance Inq

DOJ Data Set 10CorrespondenceUnknown

EFTA Document EFTA01474571

Subject: FW: Amanda From: Paul Morris ‹ > Date: Thu, 10 Sep 2015 20:10:12 -0400 To: Amanda Kirby ‹ > Coordination is below expectations, let's talk tomorrow. Thank you Original Message From: Richard Kahn [ Sent: Thursday, September 10, 2015 07:56 PM Eastern Standard Time To: Paul Morris Cc: Darren Indyke; Bella Klein Subject: Amanda Has she moved teams? If so feel it would be more appropriate to find out via phone call rather than when we send her a wire request Lets talk tomorro

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