EFTA Document EFTA01401869

Subject: RE: SF [I] From: Jane Varley Date: Fri, 02 Mar 2018 11:03:44 -0500 To: GM ACO Xavier Avila lain Macara Rita Shteynber Jitan Patel Mathew Negus Cc: Nina Tona Alastair Mackinla Martin Zeman Davide-A Sferrazza Aziz Anwar Tanushree Kirti Classification: For internal use only +Aziz and Tanu Hi Monika, This was a WM US retain from the Offboarding Clearing House process, that currently reflects in the overall CIB file colour (not coverage colour). Hence green. Nina — was NCA completed? We can't see it reflected in dbCAR (still appears delinquent) but I know that is part of the broader conversation that Julia is having with Paul Chapman. Thanks Jane From: Monika Valantiejute On Behalf Of GM ACO Sent: 02 March 2018 15:22 EFTA01401869 To: Xavier Avila Rita Shteynber Mathew Negus Cc: Nina Tona Sferrazza Subject: RE: SF [I] ; lain Macara ; Jitan Patel ; Jane Varley ; Alastair Mackinlay ; Martin Zeman ffi ; Davide-A Classification: For internal use only Hi Xavier The GB adoption location is Red across all business but this is CIB Green for the US adoption location — as one of the businesses has asked to retain this. @Jane please confirm which business asked to retain? In these instances, the GM products will not be offboarded if another business has asked to retain and the KYC/ACO responsibility sits with that business. However, please also be aware that this is a High Risk client which is KYC deficient and was last reviewed in 2015. Please let me know if any other questions. Kind regards, fcid:[email protected] Monika Valantiejute GM Project Mercury EFTA01401870 Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. Email From: Xavier Avila Sent: 02 March 2018 13:53 To: GM ACO Shteynberg ; lain Macara ; Rita ; ..litan Patel • Mathew Negus Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman ffi ; Davide-A Sferrazza Subject: RE: SF [I] Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timeframe to give him. Thanks Xavier Avila Managing Director Deutsche Bank Securities Office: Mobile: From: GM ACO EFTA01401871 Date: Thursday, Mar 01, 2018, 15:09 To: Xavier Avila , lain Macara , Rita Shteynber , 3itan Patel Mathew Negus , GM ACO Cc: Nina Tona , Alastair Mackinlay , Martin Zeman Davide-A Sferrazza Subject: RE: SF [I] Classification: For internal use only Hi Xavier I've reached out to Central Mercury to find out the CIB colour - I will update as soon as I hear back. Kind regards, fcid:[email protected] Monika Valantiejute GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. Email EFTA01401872 From: Xavier Avila Sent: 01 March 2018 19:25 To: lain Macara Cc: Nina Tona Sferrazza Subject: RE: SF [I] ; Rita Shteynber ; Jitan Patel ; Mathew Negus GM ACO -; Alastair Mackinla Martin Zeman ; Davide-A GM ACO, can you pls let us know what We have a client trying to execute Thanks the issue is? a transaction. From: lain Macara Sent: Thursday, March 01, 2018 11:48 AM To: Xavier Avila • Rita Shte Cc: Nina Tona Subject: RE: SF [I] Mathew Negus -; Alastair Mackinla Martin Zeman ; Davide-A Gm ACO — can you liaise with central merc and establish the CIB colour on the rhp below? EFTA01401873 thx From: Xavier Avila Sent: 01 March 2018 16:08 To: lain Macara ; RitaSi lber Jitan Patel ; c ; Mathew Negus Cc: Nina Tona ; Alastair Mackinla Martin Zeman ; Davide-A Sferrazza Subject: SF Ian, thanks for the call. So Rita who is the Case Manager seems to suggest that she sees Southern Financial Red and therefore we cannot extend it to Credit Derivatives, while we think we should see this Green from a KCP perspective. Bu you explain to me that the Red might be only when it comes to your ICG world. Can you pls clarify if this client is Red for everyone including KCP and if so how do we turn it Green, as discussed this is an example of a KCP Americas account that is ACOed by us, in this case myself. Thanks Xavi From: Nina Tona Sent: Thursday, March 01, 2018 11:00 AM To: Xavier Avila ffi , Subject: SF EFTA01401874 fcid:[email protected] Kind regards, 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 5022 Gate Parkway Jacksonville, Florida 32256 Tel. 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