EFTA Document EFTA01421436

Subject: Re: Updated KYC - Recent Press [C] From: Paul Morris ‹ > Date: Mon, 05 Jan 2015 11:45:54 -0500 To: Troy-D Williams Amanda Kirby Cc: Roddy Moore <[email protected]>, Nicholas Haigh Daniel Sabba Classification: Confidential Troy the stories about Prince Andrew have been popping up in the press for years. I will post the team if there is anything that has changed. From: Troy-D Williams Sent: 01/05/2015 03:07 PM GMT To: Paul Morris; Amanda Kirby Cc: Roddy Moore; Nicholas Haigh; Daniel Sabba Subject: Updated KYC - Recent Press [C] Classification: Confidential Paul, I am sure you have seen the recent press about Mr. Epstein. Can you please ensure an updated KYC is completed and that there are no new issues? Thanks Here is something from WSJ.com that might interest you: Britain's Prince Andrew and U.S. lawyer Alan Dershowitz deny sex-scandal claim http://www.wsj.com/articles/financier-epsteins-sex-case-leads-to-new- claims-1420242564 Troy D Williams EFTA01421436 Credit Risk Management Deutsche Asset & Wealth Management From: Daniel Sabba Sent: Monday, January 05, 2015 9:50 AM To: Renee Maxey Cc: [email protected]; ; Paul Morris; Vahe Stepanian; Amanda Kirby; Roddy Moore; Troy-D Williams; Mary Breslin; Kristine Pecunia; Lorna Barrow-Austin; Brendan Droge Subject: Fw: Southern Financial LLC/Deutsche Bank AG GMRA [Document Attached] [C] Classification: Confidential Renee - please liaise with Richard Kahn for communication regarding this matter. I have CCed Rich here. Rich - please see below. Best regards, Daniel Daniel Sabba Key Client Partners Deutsche Bank Securities Inc. Forwarded by Daniel Sabba/db/dbcom on 01/05/2015 09:47 AM From: Renee Maxey/db/dbcom@DBCOEX To: EFTA01421437 " "[email protected]" <[email protected]>, Cc: Roddy Moore/db/dbcom, Troy-D Williams/db/dbcom, Daniel Sabba/db/- dbcom@DBAMERICAS, Paul Morris/db/dbcom@DBAMERICAS, Mary Breslin/db/dbcom, Kristine Pecunia/ext/dbcom, Lorna Barrow-Austin/ext/dbcom@DBAMERICAS, Brendan Droge/db/dbcom Date: 12/31/2014 12:41 PM Subject: Southern Financial LLC/Deutsche Bank AG - GMRA [Document Attached] [C] Classification: Confidential Classification: Confidential Dear Harry and Jeffrey, Please find attached a GMRA between Deutsche Bank AG and Southern Financial LLC. Please let me (Renee Maxey - [email protected]) know if you have any comments or questions. If there are no questions or comments to the GMRA, please: EFTA01421438 (i) insert the required information in Annex I, sections 1(g), 1(o)(iii), and 1(p)(ii) and confirm that no Counterparty assets are subject to ERISA. Please note, in Section 1(p)(ii), we require an "English" process agent, "English" affiliate, or "English" law firm (as the GMRA is governed by English law); (ii) print out TWO (2) single-sided originals; (iii) arrange for appropriate execution by an authorized signatory on the signature page, 20; (iv) provide evidence of signing authority and specimen signature for the signatory of the GMRA , and (v) return TWO (2) sets of executed GMRAs to the attention of Kristine Pecunia: Repo & Securities Lending Legal Group Deutsche Bank AG, New York 60 Wall Street, 36th Floor New York. NY 10005 Deutsche Bank will then have the originals signed and will forward a fully executed original to you. Best regards, Renee {https://brandportal.intranet.db.com/img/modules/logo.gif} Renee J. Maxey Assistant Vice President I Legal DB Services New Jersey, Inc. 5022 Gate Parkway Suite 400 Jacksonville, Florida 32256 SOO {https://brandportal.intranet.db.com/img/modules/claim.gif} (See attached file: Southern Financial - GMRA (DB1 12.31.2014).doc) EFTA01421439