EFTA Document EFTA01460786

From: US.DB EntertainmentReports ([email protected]) Sent: 9/15/2014 10:06:05 AM To: Kimberly Hart Rourke CC: Zia Memon Subject: Client Entertainment — PWM Details, Frequency and Reconciliation Reports (August 2014) Attachments: Americas Front Office_Details Aug'14.xls; Americas Front Office_Frequency Aug'14.xls; Americas Front Office_Reconciliation Jul-Aug'14.xls Hi All, Michael-1 Davis Erin 0- In connection with the DB's new Client Entertainment Policy, which was enacted on February 4, 2008 (see Compliance Alert DBUS 08-002) attached please find: 1. a Details Report reflecting the details of the client entertainment events in your business unit that were logged pursuant to that policy for the coverage period indicated on the report, 2. a Frequency Report reflecting how many times a particular client was entertained by your specific division or team, and 3. a Concur Reconciliation Report reflecting the reconciliation of client entertainment events in your business unit that were logged into ACERS (US.Entertainmentepdb.com) and Concur Please note that following changes have been made as per the business requirement: All reports generated at UBR level 8 to facilitate consolidated review. All reports specify the UBR level 9 descriptions under "UBR Description" column. Summary tab populates the details of all employees appearing in both Current and YTD tabs. You have been identified as having supervisory responsibility over the areas for which you are receiving reports. If you identify any issue with these reports or are not the appropriate person to be receiving them, please contact your Compliance advisor. Regards DB Reporting Team This email message is for the sole use of the intended recipient(s) and may contain information that is confidential, privileged, proprietary and protected from disclosure by applicable law. Any unauthorized review, use, duplication, disclosure or distribution is strictly prohibited. If you are not the intended recipient, please contact the sender by reply email and immediately destroy all copies of this message, including electronic and hard copies. Thank you for your cooperation. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 122322 CONFIDENTIAL SDNY_GM_00268506 EFTA01460786