EFTA Document EFTA01356302

From: Andrew Gallivan Sent: 4/7/2017 3:15:31 PM To: Vaishali-P Mehta Subject: RE: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Approved. From: Vaishali-P Mehta Sent: Friday, April 07, 2017 2:21 PM To: Andrew Gallivan Subject: FW: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Hi Andrew, In an effort to ensure that you have to approve only 1 email, I sent the below email, in hindsight I should have been more careful about not ccing all the Bankers on the email. I apologize for the inconvenience caused. However I still need the approval from you. Could you please approve the below High Risk ACus which were completed? As I mentioned in the below email, this is the last email based approval I will be needing from you. Regards, Vaishali Mehta Deutsche Bark Wealth Management 101 California Street. Stile 2400. San Francisco. CA USA From: Vaishali-P Mehta Sent: Wednesday, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Tern Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classification: For internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their reporting line. In that regard, could you please approve the below ACUs? CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042102 CONFIDENTIAL SDNY_GM_00188286 EFTA01356302