EFTA Document EFTA01403400

Subject: RE: Epstein - ne ative media [I] From: Richard Iarossi Date: Thu, 18 Oct 2018 17:12:06 -0400 To: Bradley Gillin e > Classification: For internal use only Hi Kim, AML Compliance has requested that we get your approval to move forward on all Southern Financial Relationship KYCs due to this latest lawsuit Stewart has pointed out below. Per the attachment, this lawsuit has been dismissed on October 5th, 2018. As this occurred after your initial approval on October 2nd, we would ask that you please confirm again we are comfortable moving forward with this client. Thank You, Rich Richard Iarossi Assistant Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Bradley Gillin Sent: Wednesday, October 10, 2018 2:06 PM To: Richard Iarossi e > Subject: FW: Epstein - negative media [I] Classification: For internal use only EFTA01403400 From: Kimberly Hart Sent: Tuesday, October 09, 2018 12:15 PM To: Stewart Oldfield Cc: Bradley Gillin < Subject: RE: Epstein - negative media [I] Classification: For internal use only Was this returned as an RDC alert — or part of the regular Lexis/Nexis due diligence? fhttps://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gifl Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, 14th floor, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Tuesday, October 09, 2018 11:03 AM To: Kimberly Hart Cc: Bradley Gillin Subject: Epstein - negative media EFTA01403401 Kim, This just surfaced in our latest KYC reviews. Let's discuss what info I need from the client and then next steps. Thanks http://www.classactionsreporter.com/sites/default/files/- towers_ponzi_scheme_complaint.pdf fcid:[email protected] Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue New York, NY 10154 Email Securities offered through Deutsche Bank Securities Inc. EFTA01403402