EFTA Document EFTA01401814

Subject: RE: SF [I] From: Xavier Avila <a> Date: Fri, 02 Mar 2018 11:51:46 -0500 To: Jane Varley GM ACO lain Macara Rita Shteynber Jitan Patel Mathew Negus Cc: Nina Tona Alastair Mackinla Martin Zeman Davide-A Sferrazza Aziz Anwar Tanushree Kirti Jane, I tried to call you but no luck. We are still working on the docs to make sure SF is totally KYCed. We also need to extend relationship to Credit De Case Manager Rita to perform but she argued this Now Monica/GM ACO below argues this is CIB Green because us in KCP are ACO of the account and we adopted. Therefore, Rita given this is a Green CIB client adoption of SF to Credit Derivatives as we have let us know what other documetns we need to get rivatives which we asked our client was CIB Red. , and is probably Green have kept this client , pls let's start the urgent a trade to execute, and also this client KYC compliant. Jitan/Mat, this is KCP Americas biggest priority at this stage (after 03) so appreciate if you take that into consideration within the CM priority list. Thanks and if anyone has any questions pls call me. Xavier EFTA01401814 fcid:[email protected] Xavier Avila Managing Director I Key Clients Partners Wealth Management Americas Deutsche Bank Securities Inc 345 Park Avenue, New York, NY, 10154-0004 Office +1 212 454 2892 Mobile Email From: Jane Varley Sent: Friday, March 02, 2018 11:04 AM To: GM ACO ; Xavier Avila ; lain Macara ; Rita Shteynber ; Jitan Patel ; Mathew Negus Cc: Nina Tona ; Alastair Mackinlay Sferrazza < ; Martin Zeman ; Davide-A ; Aziz Anwar • Tanushree Kirti < Subject: RE: SF [I] +Aziz and Tanu Hi Monika, This was a WM US retain from the Offboarding Clearing House process, that currently reflects in the overall CIB file colour (not coverage colour). Hence green. Nina — was NCA completed? We can't see it reflected in dbCAR (still appears delinquent) but I know that is part of the broader conversation that Julia EFTA01401815 is having with Paul Chapman. Thanks Jane From: Monika Valantiejute Sent: 02 March 2018 15:22 To: Xavier Avila Rita Shteynber Mathew Negus Cc: Nina Tona Sferrazza < Subject: RE: SF [I] Hi Xavier On Behalf Of GM ACO ; lain Macara ; Jitan Patel ; Jane Varley ; Alastair Mackinla Martin Zeman ; Davide-A The GB adoption location is Red across all business but this is CIB Green for the US adoption location — as one of the businesses has asked to retain this. @Jane please confirm which business asked to retain? In these instances, the GM products will not be offboarded if another business has asked to retain and the KYC/ACO responsibility sits with that business. However, please also be aware that this is a High Risk client which is KYC deficient and was last reviewed in 2015. Please let me know if any other questions. EFTA01401816 Kind regards, {cid:[email protected]} Monika Valantiejute GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. Email From: Xavier Avila Sent: 02 March 2018 13:53 To: GM ACO Shteynberg ; lain Macara ; Rita ; _Man Patel • Mathew Negus Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman < ,-; Davide-A Sferrazza Subject: RE: SF [I] Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timeframe to give him. Thanks EFTA01401817 Xavier Avila Managing Director Deutsche Bank Securities Office: +1 212 4542892 Mobile: From: GM ACO Date: Thursday, Mar 01, 2018, 15:09 To: Xavier Avila , lain Macara , Rita Shteynber , Jitan Patel , Mathew Negus , GM ACO Cc: Nina Tona , Alastair Mackinlay , Martin Zeman <~~>, Davide-A Sferrazza Subject: RE: SF [I] Classification: For internal use only Hi Xavier I've reached out to Central Mercury to find out the CIB colour - I will update as soon as I hear back. Kind regards, {cid:[email protected]} Monika Valantiejute EFTA01401818 GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. Email From: Xavier Avila Sent: 01 March 2018 19:25 To: lain Macara Cc: Nina Tona Sferrazza < Subject: RE: SF [I] ; Rita Shteynber ; Mathew Negus ; Alastair Mackinlay ; Martin Zeman < M>; Davide-A GM ACO, can you pls let us know what the issue is? We have a client trying to execute a transaction. Thanks From: lain Macara Sent: Thursday, March 01, 2018 11:48 AM To: Xavier Avila Jitan Patel Rita Shte nber ; Mathew Negus ; GM ACO EFTA01401819 Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman <~~›; Davide-A Sferrazza Subject: RE: SF [I] Gm ACO — can you liaise with central merc and establish the CIB colour on the rhp below? thx From: Xavier Avila Sent: 01 March 2018 16:08 To: lain Macara ; RitaSi lber Jitan Patel ; c ; Mathew Negus Cc: Nina Tona ; Alastair Mackinla Martin Zeman ; Davide-A Sferrazza Subject: SF Ian, thanks for the call. So Rita who is the Case Manager seems to suggest that she sees Southern Financial Red and therefore we cannot extend it to Credit Derivatives, while we think we should see this Green from a KCP perspective. Bu you explain to me that the Red might be only when it comes to your ICG world. Can you pls clarify if this client is Red for everyone including KCP and if so how do we turn it Green, as discussed this is an example of a KCP Americas account that is ACOed by us, in this case myself. Thanks EFTA01401820 Xavi From: Nina Tona Sent: Thursday, March 01, 2018 11:00 AM To: Xavier Avila ‹ > Subject: SF fcid:[email protected] Kind regards, fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, Florida 32256 Tel. Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. EFTA01401821 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. EFTA01401822