EFTA Document EFTA01417606

2015 2015 Short Term Conditional Approval Granted Deal ID/Name Client/Project Name Responsbile Party Date of Conditional Approval Name of Conditional Approver Conditional Details Approval Target Completion Date Completed Date Verified By Comments ONB-270584 INKA Procura FI HY Glob HEUR Fund devendra- Manikandan Muralidharan, Pankaj Kumar-Mehra October 14th, 2015 Wayne Salit IM and Fund are fully regulated by BaFin, clients are adopted by DB Frankfort and DB London, Fund is Low risk entity. October 16th, 2015 October 17th, 2015 Pankaj Kumar Mehra Pending conformation from Offshore COB on this matter; email chaser sent on 1/14/2016. Verification relating to the amount of CP's for the entity was provided. Not Applicable Endurance Specialty Holdings Ltd. Marybeth Nance November 11th, 2015 Wayne Salit 1)Endurance Specialty Holdings Ltd. is currently an adopted client of the US Corporate Trust business within GTB; 2)The US Corporate Trust business just completed it Periodic Review of Endurance Specialty Holdings Ltd. in October 2015 and found no negative information. 3) Endurance Specialty Holdings Ltd. is currently traded on the NYSE, which is a DB-approved exchange; 4) COB has put this matter on a "priority" and will be able to complete the onboarding of Endurance Specialty Holdings Ltd. by the EOD on Wednesday, November 18th; 5)The CF business has confirmed that no actual funding for this transaction will occur prior to Tuesday, November 24th (the settlement date); 6)COB will notify CB & S AML Compliance if there is any delay in onboarding Endurance Specialty Holdings Ltd. by the EOD on Wednesday, November 18th; November 18th, 2015 November 18th, 2015 Marybeth Nance 1/14/2016 - According to Marybeth Nance - this matter is now closed. "On Wednesday, November 18th, I called Wayne to let him know that the file was incomplete due to a FATCA exemption request that was still pending, but the US KYC requirements had been satisfied." EFTA01417606 2016 2016 Short Term Conditional Approval Granted Deal ID/Name Client/Project Name Responsbile Party Date of Conditional Approval Name of Conditional Approver Conditional Details Approval Target Completion Date Completed Date Verified By Comments N/A Luxor Capital LLC COB January 14, 2016 Wayne Salit One-off PCR approval due to time difference between NYC and Frankfurt January 15, 2016 January 15, 2016 Kameela Hassan-Mandray Luxor Capital LLC needed to open a GM account for a loan product. PCR did not alert. EFTA01417607 Sheet3 EFTA01417608