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sd-10-EFTA01360071Dept. of JusticeOther

EFTA Document EFTA01360071

Please send all Banking related queries to our new Group E-mail ID - From: Ankit-Kumar Sharma [mailto Sent: Monday, November 13, 2017 4:23 PM To: Stewart Oldfield < Cc: Robert Dicerbo < Subject: BIB CASE STUCK DUE TO FIS ISSUE" Hi team, BIB for A/C: has got stuck due to on-going FIS issue . Please inform client accordingly. And we will keep you posted about the progress. >; Bradley Gillin < >; C nthia Rodri uez Ankit Kumar Sharma Analyst I PWAA-US Ops — Banking COO - Wealth Managem

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Dept. of Justice
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sd-10-EFTA01360071
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Please send all Banking related queries to our new Group E-mail ID - From: Ankit-Kumar Sharma [mailto Sent: Monday, November 13, 2017 4:23 PM To: Stewart Oldfield < Cc: Robert Dicerbo < Subject: BIB CASE STUCK DUE TO FIS ISSUE" Hi team, BIB for A/C: has got stuck due to on-going FIS issue . Please inform client accordingly. And we will keep you posted about the progress. >; Bradley Gillin < >; C nthia Rodri uez Ankit Kumar Sharma Analyst I PWAA-US Ops — Banking COO - Wealth Managem

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Please send all Banking related queries to our new Group E-mail ID - From: Ankit-Kumar Sharma [mailto Sent: Monday, November 13, 2017 4:23 PM To: Stewart Oldfield < Cc: Robert Dicerbo < Subject: BIB CASE STUCK DUE TO FIS ISSUE" Hi team, BIB for A/C: has got stuck due to on-going FIS issue . Please inform client accordingly. And we will keep you posted about the progress. >; Bradley Gillin < >; C nthia Rodri uez Ankit Kumar Sharma Analyst I PWAA-US Ops — Banking COO - Wealth Management Operations Ol GI b I Services Priv imi d Email Please send all Banking related queries to our new Group E-mail ID - This e-mail may contain confidential and/or privileged information. If you are not the intended recipient (or have received this e-mail in error) please notify the sender immediately and destroy this e-mail. Any unauthorized copying, disclosure or distribution of the material in this e-mail is strictly forbidden. Privacy of communications In order to monitor compliance with legal and regulatory obligations and our policies, procedures and compliance programs, we may review emails and instant messages passing through our IT systems (including any personal data and customer information they contain), and record telephone calls routed via our telephone systems. We will only do so in accordance with local laws and regulations. In some countries please refer to your local DB website for a copy of our Privacy Policy. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048285 CONFIDENTIAL SDNY_GM_00194469 EFTA01360071

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Subject: RE: BIB CASE STUCK DUE TO FIS ISSUE**42959295** From: Ankit-Kumar Sharma <[email protected]> Date: Mon, 13 Nov 2017 16:42:54 -0500 To: Stewart Oldfield Bradley Gillin <[email protected]>, Cynthia Rodriguez <[email protected]>, William-M Finn <[email protected]>, Armen Brash <[email protected]> Cc: Robert Dicerbo <[email protected]>, Kathryn .7 Stanfield <[email protected]>, [email protected], Anil Tewani <an

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Subject: RE: Message in format validation 42953467 [I] From: Shanu Gujaria Date: Mon, 17 Dec 2018 11:45:23 -0500 To: Rishabh Sharma < Stewart Oldfield Bradley Gillin < Richard Iarossi PWMITUS ProductionSupport Cc: Classification: For internal use only Approved!! Thanks and Regards, Shanu Gujaria ::15050500, T: 02028698, A/C : fcid:[email protected] Shanu Gujaria Associate I Research and Control — WM COO Wealth Management Operations DBOI Global Services Private L

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' • RE: Message in format validation : T: A/C : [I] From: Naveen Bagaria Date: Mon, 17 Dec 2018 15:13:04 -0500 To: PWMITUS ProductionSupport Cc: Shanu Gujaria Rishabh Sharma Stewart Oldfiel Bradley Gillin Richard Iarossi Classification: For internal use only Hi Team, An approval was provided at 11:45 am and now it is 03:11 pm EST, which is close to 3 1/2 hours past with no action being taken on the below request, any reason why? Regards, Naveen Bagaria COO - Wealth Managemen

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