EFTA Document EFTA01388346

From: Stewart Oldfield Sent: 10/31/2017 11:55:3S AM To: Sheffali Welch Subject: RE: MIFID II & research - access to portal for clients (I) I can try to compile a list, but doubt it will be complete. It would be much easier the system generated a list by DB contact. From: Sheffali Welch Sent: Tuesday, October 31, 2017 11:54 AM To: Stewart Oldfield Subject: Re: MIFID II & research - access to portal for clients [I] Are you able to provide a contact and email address? They would need to be logged into the portal if they were to still receive research. Sent from my iPad On Oct 31, 2017, at 11:49 AM, Stewart Oldfiela wrote: Not sure I have a comprehensive list. Off the top of my head: Safanad - various Orix - various Tisch — Steve Warner Alpha Group — Paul Barrett Third Lake? I also have access, fyi. From: Sheffali Welch trinailto: Sent: Tuesday, October 31, 2017 8:31 AM To: ' Cc: Nicholas Allen ; Anna-Sofiya Lupolover Armen Brash Subject: FW: MIFID II & research - access to portal for clients [I] Classification: For MUMS use only All, DB Research is changing its approach to distributing Research with the launch of their new Research portal in November and MIFID II go-live in January. An email was sent to relevant DB WM staff regarding their individual access to Research with the attached primer, noting that research will be distributed via secure links and pdf distribution will be stopped. Some of you have asked us to consider & identify our clients who currently have access to the DB Research and need to retain this access. They need to be registered again ahead of the go-live of the new portal in November. To that effect, could you please provide me with any clients (incl. address mails) that already have access to DB Research and that you would like to be onboarded on the new portal? CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0091841 CONFIDENTIAL SDNY_GM_00238025 EFTA01388346