EFTA Document EFTA01421735

Subject: Fw: GBSA [I] From: Stewart Oldfield Date: Tue, 27 Jun 2017 01:37:06 -0400 To: Bradley Gillin Cynthia Rodriguez Classification: For Internal Use Only Please let me know what I need to do. Stewart Oldfield, CFA, CAIA Director Deutsche Deutsche 345 Park Tel: Mobile: Email: Bank Trust Company Americas Bank Wealth Management Avenue, New York, NY 10154 blackberry Thanks Securities offered through Deutsche Bank From: Michele Hurley Sent: Monday, June 26, 2017 09:02 PM To: Stewart Oldfield Subject: FW: GBSA [I] Classification: For internal use only Hi: Securities Inc. As mentioned in the below email, attached please find your Customer List along with the GBSA attestation. Please review the spreadsheet again, noting any additional determinations that have been made in the last 1.5 weeks and then complete the attestation and return to Tanya Johnson-Coomes by close of business Tuesday, 6/27. As previously communicated, for any customers that were determined to be AIFs or for which a determination could not be made, overdrafts will not be permitted until such time as we are able to make a determination. This applies to all customers where the Exempt Yes / No column says anything other than "Yes". EFTA01421735 Many of you have already provided confirmation already in email form. All confirmations that were provided were noted in the far right column of the Customer List. Michele Hurley Tel. Fax Email From: Charles Hoffarth Sent: Monday, June 26, 2017 9:19 PM To: Abraham Telechanski • Belaunzaran • • Brandi Goldenberg • Harrington Carolyn Ma G ra I liaro Arteaga Douglas Robertson Murphy Golden • Gina Manzino < Hilde.arde Berrios < • • • • Jensen Cothron Joseph Stafford < Leanna Rivera Sanders Mark Gonzalez Westhoff Mauricio Pretelt ; Brian P Convey ; Carlos Luna ; Carsten Wellemsen ; Catherine M Oconnor >; Christopher Quartararo ; Chuck Walker Dan Peterson Daphne Cales ; Derek Javarone • Diane Minarczyk ; Ed Lok • >; Anh H Parisi >; Andrea Nicoletti ; Armando Estua- >; Bernadette Schmidin er-Brown ; Billy Obregon < ; Brenda Guerrier • • • ; Eduardo Pieta ; Eva Pace ; Gabriel Micheletti < ; Heather Kirby < ; Hsiao-li Chou < Israel Velasquez >; James Donofrio ; Janice M Smith ; John Marson >; Joseph Sabbagh >; Joshua • • Joshua Shoshan Katherine 0-Connor ; Lee Flutter Malcolm Kimble ; Mark LaRoe ; Mar C Keaveney ; Michael King Frank • • ; Brian J • ; Dan ; Daniel Kay ; Deb'ani Bagchi ; Dessy • ; Edie ; Edward Foster J McCoy • • Jake Block Janet A McGrath ; Joanne Joseph • ; Josie Alonso Lindsy Mark R EFTA01421736 M Quattrocchi Harper Colonna Russell Daulton Wessels Commisso Sylvia Junghardt Romano < Timothy MacGuire Cc: Patrick Cam Gallivan Julie Cataudella ; Michael Lantz ; Michael S Jacoby ; Nora Heaton ; Paul Bartilucci ; Rachel Maglicic ; Roberto ; Rosemar ; Michael Mullin ; Michele- Michelle Pecorino ; Oti Roberts ; Paul E Betts ; Robert Mendoza Vrablic ; R an Barcla ; Salvatore Moore ; Sean Magee ; Shahin Ahdieh ; Stephen-M Johnson ; Stewart Oldfield ; Susan Rodri uez ; Tazia Smith ; Terri Sohrab ; Thomas-B Mayer < ; Timothy Donahoe ; Trevor Spinney >; Xavier Santos < ; Janet Sible Karina Bustamante Subject: GBSA ; Patrick Harris Sheffali Welch ; Kimberly Hart ; Michele Hurley ; Ron ; Sean Jules uana Beale ; Stephan ; Susan Moffat ; Suzy Cozzi Terrence F Tangney ; Theresa ; Vincent ; Andrew Thanks go out to all of you for the time and attention you've given to the GBSA review effort. As you know, the regulation goes into effect on July 1st. As a documentation requirement, we need you to confirm in writing that you agree, to the best of your knowledge, that the determination for the customers for which you are the owner are correct. In order to meet the tight deadline for system updates, we require that you return the completed attestation by close of business Tuesday, 6/27. Hopefully this will not be too burdensome since you have already reviewed and confirmed most of the determinations for your customers. Michele Hurley will once again be forwarding your lists with the attestation document. EFTA01421737 I thank you in advance for your prompt attention to this request. Charlie EFTA01421738