EFTA Document EFTA01362551

@ WM colleagues — I realise Cliff has sent something similar to this effect to Max already this week — but could you please advise when we might receive the complete list of clients? Thanks Chris From: Devin Anderson Sent: 21 November 2018 13:45 To: ITC ACO < ACO GV >; Erik Lutkus < Cc: Alan Brody < >; David Dirvin < >; Christopher Whyton Subject: RE: ACO for KCP client: Parkwood [I] [C] Classification: Confidential Hi. I need a "yes/no" response to this please. When we trade with Parkwood, are our systems going to show that we did a trade with a red list client as the client will appear red in markets? Thanks, devin Devin Anderson Managing Director US Head of Solutions Sales Equity Derivatives, New York Deutsche Bank Disclaimer From: Dominic Newport On Behalf Of ITC ACO Sent: Wednesday, November 21, 2018 8:43 AM To: ACO GV; Erik Lutkus Cc: Alan Brody; David Dirvin; Devin Anderson; Christopher Whyton Subject: RE: ACO for KCP client: Parkwood [I] [C] Classification: Confidential Hi Sam, With the below, did you mean it will be DB Green, but not Green for CIB? @Erik - the perimeter data that Sam maintains in central Mercury is where this would be reflected (i.e. there is an ACO from PCB/WM). Our ITC perimeter won't show this because it is a reflection of ITC and, more broadly, CIB coverage. It is important that we continue to refer to clients like this as Red for CIB so that sales people recognise they cannot cover them themselves. However, by virtue of there being a PCB/WM ACO present, they will not be offboarded and the Trader in GM will still be able to trade with the entity on the platforms/products mentioned below on behalf of the PCB/WM relationship. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052017 CONFIDENTIAL SDNY_GM_00198201 EFTA01362551