EFTA Document EFTA01399504

Subject: Re: Past due KYC temporary exception [I] From: Amanda Kirby < Date: Tue, 03 Dec 2013 16:50:02 -0500 To: Kimberly Hart < Classification: For internal use only OK. Will do so ASAP Best, Amanda Kirby (Embedded image moved to file: pic00704.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic21347.gif) From: Kimberly Hart/db/dbcom To: Amanda Kirby/db/dbcom@DBAMERICAS, Date: 12/03/2013 04:49 PM Subject: Re: Past due KYC temporary exception [I] Classification: For internal use only You should speak to the KYC team to figure out what they would accept in lieu of an operating agreement. (Embedded image moved to file: pic06567.gif) Kimberly Hart EFTA01399504 Managing Director Deutsche Bank Trust Company Americas Private Wealth Management 345 Park Avenue, 27th Floor New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc. (Embedded image moved to file: pic10693.gif) From: Amanda Kirby/db/dbcom To: Kimberly Hart/db/dbcom@DBAmericas, Date: 12/03/2013 04:29 PM Subject: Re: Past due KYC temporary exception [I] Classification: For internal use only Sorry this slipped my mind. I spoke with the client and they are almost positive they do not have the Operating Agreement but is double checking and will confirm in the am. We have the Articles of Organization and a letter stating that it is a single member LLC and that he is the sole owner. Is there someone I can speak to to ask for a permanent exception if in fact he cannot find the Operating Agreement? Best, Amanda Kirby (Embedded image moved to file: pic28248.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. EFTA01399505 Fax • Email (Embedded image moved to file: pic10440.gif) From: Kimberly Hart/db/dbcom To: Amanda Kirby/db/dbcom@DBAMERICAS, Date: 12/02/2013 07:28 PM Subject: Past due KYC temporary exception [I] Classification: For internal use only Can you please provide an update regarding the past due temporary exception associated with KYC 01133377 in the name of Darren Indyke? This is past due and will appear on the monthly report if not addressed immediately. Thanks, Kim (Embedded image moved to file: pic27693.gif) Kimberly Hart Managing Director Deutsche Bank Trust Company Americas Private Wealth Management 345 Park Avenue, 27th Floor New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc. (Embedded image moved to file: pic26704.gif) EFTA01399506