EFTA Document EFTA01368143

Due Diligence Why is AFC Assignment required? (Tick as many as required) Other ML Source Material Change Conditional Country Factors Sanctions & PEP Approval Risk of have boon Negative In risk Funds identified Information rating false false false false false SRC Nexus Name List Screening Screening system Google Volcker Super 23A Restricted list false false Please provide details Adoption Information initiator Lexis Sanction CDD Nexis lists Gateway false false false Location of Initiator Request Type Business Sponsors & Approvers Business Approver Joe Aglione Matthew OConnor Joe Aglione Joe Aglione Martin Zeman Joe Aglione Xavier Avila Xavier Avila AFC AFC Comments Adoption Entity DB AG (London) DB AG (London) DB AG (London) DB AG (London) DB AG (London) DB AG (London) DB AG (London) DB AG (London) View of the Business Business Recommendation Product OTC Denvatrves (Rates) Commodities FX Options FX Cash Convertible Bonds Fixed Income GED Global Credit Derivatives Embargoes Nexus false false PCR Norkom Bearer Shares Consultation Sou rceO1WealthAFC Industry Product Risk Risk false false false AFC negative list of Fi rcoSoft RDC Yahoo rejected clients false false true Business Sponsor BA Location John Kennedy Jahn Bindal John Kennedy John Kennedy Martin Zeman Christopher Hatch Martin Zeman Martin Zeman USA USA USA USA USA USA USA Internal Lists false false false Business Unit Markets Markets Markets Markets Markets Markets Markets Markets false false No Yes Target Embargo lists lists false false Other false Searches ran with FucoSoft BS Location USA USA USA Jesse-J Cruz USA Product Extension (PE) • Adoption Location United Kingdom United Kingdom United Kingdom United Kingdom United Kingdom United Kingdom United Kingdom United Kingdom System Approval NOT Product Extension Page 16 Continue the relationship CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059804 CONFIDENTIAL SDNY_GM_00205988 EFTA01368143