EFTA Document EFTA01398289

Subject: RE: Cases for this Week - 6/21 [I] From: Oliver Esslinger Date: Thu, 20 Jun 2019 13:52:20 -0400 To: Ellenoi Jarvis Jamaal Bushara Joseph Harlest Nina Tona Funda Bozkurt Cc: Padam Chainani Ana Hunter , L. `-- Ian Salters Paolo De-Leon Keith Buckholz Joseph Cothron Jennifer Hudson Classification: For internal use only Ellenoi/all: I amended managed exit tab — see attached excel. Having said that and when looking up the maturity date from Paolo's and Keith's input — see screen shot — it looks to me that trade already matured (2month Swap only or typo?) If so does it mean that we have no more active trades on the books for 1149 Gower? If so, this client should be offboarded rather than moved to managed exit. Can somebody please confirm (Paolo/Keith/Joe maybe)? Counterparty Name Coverage Office Location TRADE ID Trade Description EFTA01398289 Trade Date Maturity Date January 1149 Gower Street Hollywood LLC Dan Gray LA swap 01/29/19 03/31/19 Also adding Jen to carve out from upcoming mailing initiave. Regards Oliver (cid:image001.gif@OlDOADA8 Oliver Esslinger Director I COO Head of Business Integrity Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas EFTA01398290 Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA From: Ellenoi Jarvis Sent: Thursday, June 20, 2019 1:32 PM To: Jamaal Bushara Nina Tona Cc: Padam Ch • ' Ana Hun Ian Salters linger Subject: RE: ases or is cc - 6/21 [I] oseph Harleston Classification: For internal use only Hi, Update to this week's cases for ISG. Per ACO response to ADL outreach - should be handled as Managed Exit. Please move from list below and update tracker status to Managed Exit and ADL status to N/A. Sincerely, EFTA01398291 Ellenoi Jarvis Ellenoi Jarvis Deutsche Bank Trust Company Americas WM Americas - w York, NY, USA From: Nina Tona Sent: Thursday, June 20 2019 11:29 AM .11.. : I. . na un er iver Esslinger u ject: ases or this Week - 6/2 Classification: For internal use only Hi Team, oseph Harleston is Ian Salters Please see the updated list. Ellenoi added the 4 clients. Kindly review and advise what is required to remediate, please ensure Red Okas is worked on first. Pending with COB EFTA01398292 Client Name KYC Type Status Action COB Responsible Due Date 134 West 58th Realty LLC Remediation COB IT issue Jamaal 06/19/2019 Remediation COB IT issue Joe 6/14/2019 Dobson CC Limited Partnership Remediation COB With G KYC Checker Jamaal EFTA01398293 6/21/2019 Red Oak Investment Fund Remediation (High Priority) COB Provide remediation list Jamaal 6/28/2019 Howard Lepow Remediation COB Provide remediation list Joe 6/28/2019 1149 Gower Street Hollywood LLC Remediation COB Provide remediation list Jamaal 6/28/2019 Remediation COB Provide remediation list EFTA01398294 Joe 6/28/2019 Pending with Business Client Name KYC Type Status Dakota Pacific Global Macro Fund LLC Extension Client to provide clarification to AFC question Staple Street Global Extension With business to obtain from client Daniel and Suzzan Cohen Remediation Tax issue, MIFID opt-out DA Brazil NCA With business to obtain from client DA Venezuela NCA EFTA01398295 With business to obtain from client Ultralat Capital Markets Refresh With business to obtain from client Anschutz Investment Company Extension With business to provide required info Fox Growth Fund Inc NCA Pending with business Niscaly NCA Pending with business Black Maple Capital Partners NCA With business to obtain from client The Lamia Ventures Corporation Remediation With business to obtain from client. Client on vacation Blue Media Investments Remediation With business to provide list of requirements EFTA01398296 Vanguardia Inversiones SA Remediation Pending with business Thank you Nina Tona Brunelli Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 #Positive Impact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and EFTA01398297 determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Nina Tona Sent: Monday, June 17, 2019 11:06 AM • Joseph Harleston c: •a am avian]. Ellenoi Jarvis Ana Hunter Oliver Esslinger r this Week - Updated List [I] Classification: For internal use only Good Morning Team, Ian Salters Please see the below list for this week. Might add more after discussions with business or hope to move some from with business to COB. EFTA01398298 Pending with COB Client Name KYC Type Status Action COB Responsible Due Date Vanguardia Inversiones SA Remediation COB Need to send to verification Jamaal 6/19/2019 134 West 58th Realty LLC Remediation COB Jamaal Advise what else is required Jamaal 06/19/2019 Ultralat Capital Markets Refresh COB EFTA01398299 Waiting on IBOs to be build. The work on GKYs Joe 6/21/2019 125 Washington Remediation COB IT issue Joe 6/14/2019 Colina Insurance Remediation COB Dobson CC Limited Partnership Remediation COB List of requirements Jamaal 6/21/2019 EFTA01398300 Pending with Business Client Name KYC Type Status Dakota Pacific Global Macro Fund LLC Extension Client to provide clarification to AFC question Staple Street Global Extension With business to obtain from client Daniel and Suzzan Cohen Remediation Tax issue, MIFID opt-out DA Brazil NCA With business to obtain from client EFTA01398301 DA Venezuela NCA With business to obtain from client Ultralat Capital Markets Refresh With business to obtain from client Anschutz Investment Company Extension With business to provide required info Fox Growth Fund Inc NCA Pending with business Niscaly NCA Pending with business Black Maple Capital Partners NCA With business to obtain from client The Lamia Ventures Corporation Remediation With business to obtain from client. Client on vacation EFTA01398302 Blue Media Investments Remediation With business to provide list of requirements Thank you Nina Tona Brunelli Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 #Positive Impact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and EFTA01398303 Classification: For internal use only determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Nina Tona Sent: Tuesday, June 11, 2019 12:03 PM • oseph Harleston Ellenoi Jarvis aver Esslinger r this Week - Upda Hi Team, Please see the updated list. Pending with COB rs EFTA01398304 Client Name KYC Type Status Action COB Responsible Due Date George Kaiser Family Foundation Remediation Pending with AFC (UK and US) Jamaal reach out to UK AFC Ricky to clarify Nina to follow up with US AFC Jamaal 06/12/2019 134 West 58th Realty LLC Remediation COB Jamaal Advise what else is required Jamaal 06/12/2019 30 West 72nd Street (NEW) Remediation COB EFTA01398305 Provided list of pending items Joe 6/14/2019 125 Washington Remediation COB Pending with verification Joe 6/14/2019 237 Wasseman Remediation COB Pending with verification Joe 6/14/2019 78-79 Wasseman Remediation COB Pending GKYC approval, then to be sent for LKYC Joe 6/14/2019 Daniel and Suzzane Cohen Remediation EFTA01398306 COB Pending verification and Tax form from business Jamaal 6/14/2019 Pending with Business Client Name KYC Type Status Vanguardia Inversiones SA Remediation Pending with business to provide pending items Dakota Pacific Global Macro Fund LLC Extension Client to provide clarification to AFC question Staple Street Global Extension With business to obtain from client DA Brazil NCA With business to obtain from client EFTA01398307 DA Venezuela NCA With business to obtain from client Ultralat Capital Markets Refresh With business to obtain from client Anschutz Investment Company Extension With business to provide required info Fox Growth Fund Inc NCA Pending with business Niscaly NCA Pending with business Black Maple Capital Partners NCA With business to obtain from client The Lamia Ventures Corporation Remediation With business to obtain from client Blue Media Investments EFTA01398308 Remediation With business to advise next step Thank you Nina Tona Brunelli Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 #Positive Impact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal EFTA01398309 approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Nina Tona Sent: Monday, June 10 2019 3:38 PM na unter Oliver Esslinger is Week [I] Classification: For internal use only Hi Joe and Jamaal, Joseph Harleston Ellenoi Jarvis Ian Salters Please see the below list to be worked on for this week. If any of the ones who are pending with business come back, please stop working on the new ones which were added this week. EFTA01398310 Pending with COB Client Name KYC Type Status Action COB Responsible Due Date George Kaiser Family Foundation Remediation Pending with AFC (UK and US) Jamaal reach out to UK AFC Ricky to clarify Nina to follow up with US AFC Jamaal 06/12/2019 134 West 58th Realty LLC Remediation COB Jamaal Advise what else is required Jamaal 06/12/2019 Blue Media Investments (NEW) Remediation EFTA01398311 COB Provide list of requirements Jamaal 6/14/2019 30 West 72nd Street (NEW) Remediation COB Provided list of pending items Joe 6/14/2019 MPT FUNDS SPC LTD Remediation COB Provide list of requirements Joe 6/14/2019 Pending with Business Client Name KYC Type Status NEW) Vanguardia Inversiones SA EFTA01398312 Remediation Pending with business to provide pending items Dakota Pacific Global Macro Fund LLC Extension Client to provide clarification to AFC question Staple Street Global Extension With business to obtain from client DA Brazil NCA With business to obtain from client DA Venezuela NCA With business to obtain from client Ultralat Capital Markets Refresh With business to obtain from client Anschutz Investment Company Extension With business to provide required info Fox Growth Fund Inc NCA EFTA01398313 Pending with business Niscaly NCA Pending with business Black Maple Capital Partners NCA With business to obtain from client The Lamia Ventures Corporation Remediation With business to obtain from client Kind regards, Nina Tona Brunelli Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 EFTA01398314 #Positive Impact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01398315