EFTA Document EFTA01374408

• PCR did not alert. Documentation — • Documentation to verify entity formation and UBO identity was provided. Expected Activity for the Account/Information from Sales — • The client is opening an Equities Custody/Margin account for flow trading. Recommendation — • From an AML perspective, I approve this account with the condition to mark the relationship as High Risk and the recommendation to be monitored for suspicious activity. However, the material negative information associated with the client's UBO and control person, Jeffrey Edward Epstein, may pose reputational risk to DB. Therefore, I recommend escalating this case to the Americas Reputational Risk Committee for review and decision. Thanks and regards, Dmitri Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005.2836 Tel E-mail: PaSifts.. ler Parisi. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0069074 CONFIDENTIAL SDNY_GM_00215258 EFTA01374408