EFTA Document EFTA01374373

PCS NAO Page I I of IS Broker-Doke - WNRA - P Wk Company HOW. fliron Moir in lore fo~onoto0 rnfreanes to ~1~~~ Bor. ~O~nrawnoloyeen~t~ o•~0.~ ~at Darn ni unynrwnindaCmon .iniun my.rtseti n•wholl nnomplay~o~~~(~ Isevrcoo enter~ n ~doh to ~~ tranwilino: us ~on.. en~~ns w ~raw ~~4 ova P. ~~t. Tor, ~4010 • ~y persOnal akoo.sa or an ~0100~ • Any y•ne ~~00~0~n Mt hint .0 olwh fro ~DA n ~9~1' Any ~out< tor n indiockal •~a Øe0 doo•givo.403t~b• to a ~gaol ~rut by Po ~~0~0•;.~~~ ~awn pains a mints • eØ. • Any w•oont Inc ~sell do ~ploy« in, .r..±..alt~1101..J.d.r, ~none, •~1. 0,0••••••• cona.b«••••••./dha • Any •CaZil 01.1:49.1. too a 0.~ a ~1~. ~6~4 ~on. Btq+AnJn We. ' f ~piano. of rflortsc In Sant., m •••bo '<Sarin or effilotoo O Aelo~l to an employe, of DeutxM 8811k. as sobsedsatot O Employee of Att0/11~ Brokee•Denlor O Ralat~ to an omployaa• at A NOT Bra ~.0)n/off 1 ® None of VI. above 11.~~.frolyno n• Mood to mentorerrNoNee a litea rteNro~VINRA7 0 yes (it No ato. lortyagnod petty na • lorrog ',maws ointer ot ••• don fwe nhOnnd per an in a an. olaV izerzoyon~t ~Mgt Anil • 0 Yes No Saf cc* of Wealth Onnor ~et" ~oh taw> tr0r K lehal• hoots te GM. 0 stk. of fen or foes D Iodinated tinting, K Corporate En roeng• El Sole of IW.inm. 0 Corporal,. E ~oho. K OUblic or Goof 0 solo or Rao) Ettaita Ea Professional ta mew, e at icon ono, tn. of °Clio ~sob K lattoty 01 Gomiog Othow The con el We Re Laatet Mills WSW NM «Wye ICCM ~MON 0•Nef Wen Madthol at. Akira Ste d PI Wahl Grow eke IW2 The Al ~Group Ise NINO lochncloar eyttirm and canicastalhe ltrodon of Gaud Anna (KSAite p wroeke USA PATRIOT Act Info NpYf KC tro • a MI us 1111.M... ann..' Lorrn, nosot? isnonotoni.1 oNnoos «ONO of so coNniry • Own/. ...boa Rai or ~ o••••••44. Only moot. ol aid. on off!~ 0 Vv. ® No A v https://salesforce.intranet.db.com/PCSNAO/DBForce/PCSNAO 4/16/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069026 CONFIDENTIAL PROT1 PROT0