EFTA Document EFTA01356327

From: Vaishali-P Mehta [ Sent: 4/7/2017 2:21:O6 PM To: Andrew Gallivan Subject: FW: MD approval for ACUs completed for High Risk Clients [I) Classification: For 'Memel use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I should have been more careful about not ccing all the Bankers on the email. I apologize for the inconvenience caused. However I still need the approval from you. Could you please approve the below High Risk ACus which were completed? As I mentioned in the below email, this is the last email based approval I will be needing from you. Regards, Vaishali Mehta Deutsche Bank Wealth Management 101 California Street. Suite 2400. San Francisco, CA USA From: Vaishali-P Mehta Sent: Wednesday, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Tern Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classification: For Internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their reporting line. In that regard, could you please approve the below ACUs? Annual Client Update: ID Annual GCIS Client Customer Customer Name MD Update: Number Created Date AI.S. Client A14. Status Update A16. A17. Description Customer Owner CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042145 SDNY_GM_00188329 EFTA01356327