RE: 2018 Periodic Review of High Risked Account (Vijay-A Sawant, August 24, 2018)

Mob' Emai Securities offered through Deutsche Bank Securities Inc. On Aug 31, 2018, at 7:21 AM, Vijay-A Sawan wrote: Hi Stewart, Please see pending confirmations required in KYC Case for Butterfly & Neptune, below - • Butterfly trust - Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account