EFTA Document EFTA01356790

On Oct 10, 2018, at 11:19 AM, Coley Jellinghaus ‹ > wrote: Classification: For Internal use only To be clear, I have not asked if we can adopt this account to KCP, I'm forwarding a request from the Banker to have this account covered by KCP as the POA on the account IS a KCP adopted account and is covered by the KCP team. The Banker thinks that for continuity the POA on this account would prefer to have one desk to trade with (KCP). I know that the KCP desk currently covers accounts that are not KCP adopted, hence the request from the Banker to maintain coverage on one desk. If answer is no, I am perfectly fine with it, and will assign ISG coverage to the new account. Thank you <image001.gif> Coley Jellinghaus Managing Director I Head of Investment Solutions Group Wealth Management Americas DB Securities Inc. 345 P rk Av n 1 154-0004 New York, NY, USA Tel Email From: zia Memon Sent: Wednesday, October 10, 2018 7:10 AM To: Coley Jellinghaus < Cc: Diana Canter < >; Kimberly Hart < Subject: Re: Butterfly brokerage [CI Coley, >; Funda Bozkurt May be I don't understand the full picture as described to me. As I recall, account in question is a trust for benefit of employees, has value/net worth of less than $5 mil, and the authorized officer will be authorized by a POA to execute syndicate trades. This POA happens to be a KCP client. How can we qualify this account as a KCP client (Non advised, 50 mil-2I I I qualification)? Would appreciate if you can setup a call between you, me, Kim, Funda and may be lgor/Jeff Roth. Thank you. Kind regards! Zia Memon, Manairinu. Di rector/BSO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042869 CONFIDENTIAL SDNY_GM_00189053 EFTA01356790