EFTA Document EFTA01356611

• Effective 11 August, 2016 - As per HRM policy, whenever there is an email with PDF attachment for instruction it will be considered as FAX. • FO is required to attach email along with PDF attachment where ever there is a call back performed. (Reason: To validate segregation of duties), in case FO has not attached email, teas will be rejected back. • Team will identify the document as if it is received via FAX or by email with help of encrypted line from fax machine on the top/bottom of document (date, time, fax number). If encrypted line is present, it means document is received via fax machine and if encrypted line is not present it might have received through email and TAG team will need email to validate call back signatures. • Effective 1 September,2016 - Recipient of email can forward the email but the person who forwards the email CANNOT do the callback. • Effective 1 September,2016 - List mailbox are created in which client will be sending instructions to a list id in which recipients are added, whose list will be maintained by TAG team and TAG will make sure the client email recipient list members only do the recipient signature and callback signature on the callback stamp. Currently we have only one List information which is DBPrivateBankChicago and the members of the list are "Dana.zook@db.com, Janet.sible@db.com and Valerie.oconnor@db.com". Use link to check DB list members: http://dbIng.mail.db.com/ • Effective 22 September,2016 - New list mailbox was created which is "Teamburnettpwmla" and the members of the team are Daniel Kay, Israel Velasquez, Mayra Fonseca, Melissa Clark and Susan Burnett. • Effective 1 March, 2018 - If Banker is out of office or not able to access his/her mail box due to any reason who actually received instruction from the client, in such case his/her colleague(another banker) can forward that client"s mail to his own mailbox as he/she has access of each other mail box. Such banker or the banker who actually received email directly from the client, can only be the call back recipient. both of them can not perform the call back. Example : If "Joe" is out of office then "Keith" can access Joe"s mail box and forward that client"s mail to his own mail box and in that case sender name would be "Keith on the behalf of Joe". In such scenario neither Keith nor Joe can perform the call back. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042553 CONFIDENTIAL SDNY_GM_00188737 EFTA01356611