EFTA Document EFTA01356231

of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Nina Tona Sent: Tuesday, June 11, 2019 12:03 PM To: Jamaal Bushara oseph H a rleston Cc: Padam Chainani Ellenoi Jarvis Ana Hunter • Ian Salters Oliver Esslinger < u ject: : ases or t is Week - Updated List [Ii Classification: For Internal use only Hi Team, Please see the updated list. Pending with COB Client Name KYC Type Status Action COB Due Date Responsible Remediation Pending with AFC (UK and Jamaal reach out to UK AFC Jamaal 06/12/2019 US) Ricky to clarify Nina to follow up with US AFC Remediation COB Jamaal Advise what else is required Jamaal 06;12/2019 Remediation COB Provided list of pending items Joe 6/14/2019 Remediation COB Pending with verification Joe 6/14/2019 Remediation COB Pending with Joe 6/14/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041978 CONFIDENTIAL SDNY_GM_00188162 EFTA01356231