EFTA Document EFTA01478941

Subject: New hire - capital markets I From: Caroline Kitidis Date: Mon, 29 Se 2014 16:40:16 -0400 To: Cc: Vinit Sahni Classification: For internal use only Hi all, Just wanted to let you know Daniel Saba (Director) started today from BAM. He will be focused on building and managing our KCP Capital Markets efforts for the US. He will spend the coming months meeting our clients & building relationships, building content/best ideas, setting up processes/ISDAs to execute, and building partnerships with our bankers, internal partners, trading (AWM, CB&S), product and the control groups. I've attached the initial business plan. We've identified 12 relationships which we will transition over to Daniel initially (primary coverage), YTD revenues —220k. There are 14 additional relationships identified as co- coverage (secondary coverage with current KCP coverage), —250k revenues YTD. With the 26 relationships we believe this is a good start to focus on and build. We've also identified 2 prospects and expect this prospect list to grow as we brand, market and build the effort. As you can see, there is a lot of wood to chop and potential upside. More client info on pages 4-5. Initial areas of focus: 1. Branding / Content - Investment calls, cross-asset quarterly pieces, trade ideas - capital markets specific. 2. Internal relationships & Infrastructure - Building relationships w RMs, AWM solutions & product partners, STG, CB&S, CRM, compliance, legal. Fixing processes and streamlining account opening, documentation, booking etc (gaps). 3. Clients and prospects - Current KCP capital markets clients (setting them up officially to trade, ISDAs etc), active coverage, best ideas and execution to these clients & prospects. If you can please reach out to him to welcome him I would appreciate it. Thanks again for your support in this effort. (See attached file: Capital markets KCP plan.pdf) Kind regards, Caroline Kitidis EFTA01478941 Caroline V. Kitidis Managing Director I Head of Key Client Partners & Wealth Investment Coverage - Americas Deutsche Deutsche 345 Park New York Tel. Mobile Email Bank Securities Inc Asset & Wealth Management Avenue, 26th Floor NY 10154-0004 EFTA01478942