EFTA Document EFTA01408701

Subject: RE: KYC remediation [I] From: Ian Salters Date: Fri, 01 Mar 2019 16:58:26 -0500 To: Kareen Johnson Brian Serino < Cc: Bill King Davide-A Sferrazza Nina Tona Yasmeen Alim Jamaal Bushar Andrea Sandve Ian Salters <' Classification: For internal use only Dear All, After conducting a further review the KYC situation is a lot worse. The revised KYC remediation list is as follows: fcid:[email protected] fcid:[email protected] Thanks for all your help in advance. Nina — can you please add to tracker. Ian From: Kareen Johnson Sent: Tuesday, February 26, 2019 11:53 AM EFTA01408701 To: Ian Salters ; Brian Serino Cc: Bill King avide-A Sferrazza u ject: reme iation Classification: For internal use only Hi Ian, We will add them to the current pipeline, and assign the cases accordingly. Thank you ! Kareen Johnson From: Ian Salters Sent: Monday, February 25, 2019 4:00 PM To: Brian Serino Kareen Johnson Cc: Bill King u ject: reme iation Classification: For internal use only Brian/Kareen - As previously discussed, the priority list is less than I thought, please see attached clients that need to be onboarded with CIB as a priority: Bill - can you please take the lead on the ISG clients (this ties into the 32 clients you previously advised of): Nina / Davide — can you please work together on the IWP clients (understand that Southern Financial is going away): EFTA01408702 A) Wealth Management fcid:[email protected] B) IWP fcid:[email protected] Kind regards, Ian Salters {https://brandportal.intranet.db.com/img/modules/logogrey.gif} Ian Salters COO Americas - Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobi Emai Visit us: http://deutschewealth.com fhttps://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gifl IWP 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 EFTA01408703 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 Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP 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. EFTA01408704