EFTA Document EFTA01344574

Highly sophisticated private investor and trader across asset classes and derivatives One of largest brokerage clients at JP Morgan; Multiple relationships across the street Private investor in early stage VC Deal Description: Prospect recently moved approximately moved 5200 million of securities and cash (equities, currencies, structures, fixed income, swaps, commodities etc) very active trader; ISDAs negotiated and finalized in timely manner significant growth opportunity for asset growth in 2014 Strong existing relationship with banker, multiple meetings/call with client and team got him comfortable with global trading capabilities client also liked the focus of the DB platform and Ku model Client will trade across all asset classes using cash, derivatives and structures Key Success Factors: frequent dialogue with principal and family office members Teamwork - KCP Caroline Kitidis, Tazia Smith, vahe Stephanian, Amanda Kirby, Blanche Christerson, Credit Risk Management, Account Opening Group (India) Paul Morris Managing Director Deutsche Bank Private Bank 345 Park Avenue, 27th Floor New York, NY 10154 Cel Cell: From: To: Date: subject: Diego Galan/db/dbcom Paul Morris/db/dbcom@DBAMERICAS, 12/03/2013 01:43 PM success story for this coming Thursday USPB MD Banker meeting (I] classification: For internal use only Hi Paul, During this coming Thursday USPB banker MD meeting Chip would like you to present a brief overview of the recent accounts opened for Southern Financial LLC, that I understand moved from IPM. Could you please send me a brief overview of the deal, including: - Client profile, including the business the client - Deal description / type of business the client is with us - Key success factor to win the accounts, including people involved was doing at JPM doing / is planning to do any Product and support It would be great of you could send me this overview before noon also happy to discuss in person if easier. Thanks, Diego tomorrow; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0030198 CONFIDENTIAL SDNY_GM_00176382 EFTA01344574