EFTA Document EFTA01359020

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DOJ Data Set 10

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Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl New York. NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Tuesday, July 03 2018 11:27 AM To: Bradley Gillin < Cc: Daphne Cales Subject: 2018 Periodic Review of acct Cerberus Executive, LLC with RELATIONSHIP Importance: High Hello Brad, This review relates to above high risk account due for remediation 7/31/2018. under the CEREBERUS CAPITAL Upon reviewing docs extracted from the repositories and attachments, I have completed attached checklist for this account. Main RP's identified are as follows — Acct Holder - Cerberus Executive, LLC (a.k.a. formerly Cerberus Employees, LLC) Managing Member— Stephen A. Feinberg Senior Managing Director and Authorized Signatory — Mark A. Neporent Senior Managing Director and Authorized Signatory —Jeffrey L. Lomasky Senior Managing Director and Authorized Signatory — Seth P. Plattus SOW Company - Cerberus Capital Management LP All researches will be done on the above RP's so kindly advise if RP's are correctly identified in this case? I am not including the 62 non managing members as they are meant to have equal holdings in this entity and hence it will be bound to be less than 10%. Kindly confirm if there are any material changes to this account, so case will be launched and worked on accordingly. ID docs are missin for the Senior Managing Directors, but their addresses can be obtained from previous approved KYCPrints However an updated ID doc for Mr Feinberg will be required in case there are material changes to this account. We also require Fincen form to be completed for this account, attached blank form for convenience. I will proceed to launch this case upon your confirmation of the above, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047025 CONFIDENTIAL SDNY_GM_00193209 EFTA01359020

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We look forward to the required dots & info. Thanking you in advance for all your help. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche ClE4 Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gor 400063, India Tel. Mobile From: Stewart Oldfield Sent: Thursday, October 25, 2018 11:32 PM To: Vijay-A Sawant Cc: Bradley Gitlin SL RFFIE•sponses on reje Mayur Rathod Richard la

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From: Cynthia Rodriguez Sent: 6/27/2017 10• To: sigver dbgps CC: Stewart Oldfield Mitchell l; Teresa Metallo Julian J Leff -l; Kavish Sharma I; Bradley Gillin Subject: RE: EMS/270617970591: Check Referral - Acct Okay to post Kind regards, Cynthia Rodriguez Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl 10154-0004 New York. NY, USA Lisa-M Ramos ; Uplabdhi Singh ; William-M Finn ; Jo

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