EFTA Document EFTA01399674

Subject: RE: Please advise if we need to retain [I] From: Alan Brody a> Date: Wed, 16 Jan 2019 20:29:15 -0500 To: Billy Obregon Nina Tona Davide-A Sferrazza Joshua Shoshan Martin Zeman Cc: Alastair Mackinla Ian Salters I am fine with Martin as ACO as long as he is. Alan Brody Managing Director I Head of KCP Americas Global Investments & Trading Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA p e. From: Billy Obregon <=a> Date: Wednesday, Jan 16, 2019, 5:44 PM To: Nina Tona , Davide-A Sferrazza >, Joshua Shoshan , Martin Zeman Cc: Alastair Mackinlay , Ian Salters , Alan Brody Subject: RE: Please advise if we need to retain [I] Classification: For internal use only I think for all offshore Martin should be the ACO if that is permitted or Alan if it must be a MD. That said, I will let Alan decide how he wants to proceed for ACOs. Billy From: Nina Tona Sent: Wednesday, January 16, 2019 5:38 PM To: Bill Obre on ; Joshua Shoshan ; Davide-A Sferrazza <IIIIIII ; Martin Zeman EFTA01399674 Cc: Alastair Mackinlay ; Ian Salters Alan Brody Subject: RE: Please advise if we need to retain [I] Classification: For internal use only Hi Billy, Kindly advise who should be ACO as we need to conduct a remediation KYC. Thank you fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management Tel. Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and EFTA01399675 related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Billy Obregon Sent: Tuesday, January 15, 2019 3:59 PM To: Davide-A Sferrazza ; Joshua Shoshan Cc: Alastair Mackinlay ; Ian Salters < :.; Alan Brody Subject: RE: Please advise if we need to retain [I] Classification: For internal use only ; Nina Tona ; Martin Zeman This is my input — please let me know if you agree: WILLETT ADVISORS LLC Don't know DRAKE AURORA FUND Offboard — client changed vehicle COLINA INSURANCE LIMITED EFTA01399676 Don't know SOUTHERN FINANCIAL, LLC Don't' know MONEX INVERSIONES SA Retain — we are amending ISDA GAPSTOW CAPITAL PARTNERS LP Don't know BANCARD INTERNATIONAL INVESTMENT INC Client is setting up new vehicle (this is the current president of Chile) MONEX INVERSIONES SA Retain — we are amending ISDA SOUTHERN FINANCIAL, LLC Don't know CRE CAPITAL LLC Don't' Know EFTA01399677 MANTIQUEIRA OVERSEAS FUND LTD. Retain — we trade actively (main account is Lepton) DRAKE AURORA FUND Offboard — client changed vehicle TECHVIEW INVESTMENTS LTD. Don't know ICAHN ENTERPRISES L.P. Don't know W DE ARGENTINA - INVERSIONES S.A Retain — this is the account for structure lending From: Davide-A Sferrazza Sent: Tuesday, January 15, 2019 3:48 PM To: Nina Tona ; Joshua Shoshan Martin Zeman ; Bill Obre on Cc: Alastair Mackinlay ; Ian Salters <Ma; Alan Brody Subject: RE: Please advise if we need to retain [I] ; EFTA01399678 Classification: For internal use only Hi Nina, Did these accounts show up on an offboard list? Can you find out the rationale for each account (i.e. whether it is a remediation/commercially-driven offboard)? Thank you. Regards, Davide fcid:[email protected] Davide Sferrazza Analyst I Key Client Partners Deutsche Bank Securities, Inc. Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email KCP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no EFTA01399679 transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Key Client Partners group (KCP). Material herein regarding KCP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the KCP Americas desk may include investment recommendations and brokerage advice, KCP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through KCP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Nina Tona Sent: Tuesday, Januar 15, 2019 3:38 PM To: Joshua Shoshan ; Davide-A Sferrazza Martin Zeman ; Billy Cc: Alastair Mackinlay ; Ian Salters ; Alan Brody Subject: Please advise if we need to retain [I] Classification: For internal use only Hi All, a Obregon Please advise if you the below should be retained and if so provide ACO, rationale and client outreach (RR and RP). EFTA01399680 WILLETT ADVISORS LLC DRAKE AURORA FUND COLINA INSURANCE LIMITED SOUTHERN FINANCIAL, LLC MONEX INVERSIONES SA GAPSTOW CAPITAL PARTNERS LP BANCARD INTERNATIONAL INVESTMENT INC MONEX INVERSIONES SA SOUTHERN FINANCIAL, LLC CRE CAPITAL LLC MANTIQUEIRA OVERSEAS FUND LTD. EFTA01399681 DRAKE AURORA FUND TECHVIEW INVESTMENTS LTD. ICAHN ENTERPRISES L.P. W DE ARGENTINA - INVERSIONES S.A Thanks Kind regards, {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gif} Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, Florida 32256 EFTA01399682 Tel. Email KCP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Key Client Partners group (KCP). Material herein regarding KCP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the KCP Americas desk may include investment recommendations and brokerage advice, KCP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through KCP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01399683