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sd-10-EFTA01362548Dept. of JusticeOther

EFTA Document EFTA01362548

Classification: For Internal use only Marcus —This account has FX options in the books which is CIB. Can you please explain why you need to keep TradeInvest RED for CIB? Thanks Martin From: Marcus Spooner On Behalf Of ITC ACO Sent: Friday, January 04, 2019 9:39 AM To: Nina Tona ; Xavier Avil Jitan Patel , Matthew Peckman luwasegun Ajiboye Ian Salter Max Kleinert Subject: RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS III Classification: For Internal use only Hi Nina, Leonardo Suarez

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sd-10-EFTA01362548
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Classification: For Internal use only Marcus —This account has FX options in the books which is CIB. Can you please explain why you need to keep TradeInvest RED for CIB? Thanks Martin From: Marcus Spooner On Behalf Of ITC ACO Sent: Friday, January 04, 2019 9:39 AM To: Nina Tona ; Xavier Avil Jitan Patel , Matthew Peckman luwasegun Ajiboye Ian Salter Max Kleinert Subject: RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS III Classification: For Internal use only Hi Nina, Leonardo Suarez

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Classification: For Internal use only Marcus —This account has FX options in the books which is CIB. Can you please explain why you need to keep TradeInvest RED for CIB? Thanks Martin From: Marcus Spooner On Behalf Of ITC ACO Sent: Friday, January 04, 2019 9:39 AM To: Nina Tona ; Xavier Avil Jitan Patel , Matthew Peckman luwasegun Ajiboye Ian Salter Max Kleinert Subject: RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS III Classification: For Internal use only Hi Nina, Leonardo Suarez Shanna Cooke ; Sameer Lalji Mathew Negus Understood, this can be Green from a WM perspective, but from a CIB perspective it will remain Red. If Aziz has approved the list then the client won't be offboarded as he will flag it as a non-CIB Green. If you can share the list that Aziz has approved to us we can flag these as being Green for WM in TradeFinder, but they will remain Red for CIB. Kind regards, Marcus Spooner Institutional Treasury Coverage Project Mercury Deutsche Bank Wins Street. London. EC2N 2DB Tel. Ema From: Nina Tona Sent: 04 January 2019 14:19 To: ITC AC avier Avila Leonardo Suarez an Patel Matthew Peckman <matthew.peckmanr@db.con»; S anna luwasegun Ajiboy M Sameer Lalji Ian a ter athew Negus Subject: RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS III Classification: For Internal use only Hi Marcus, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052013 CONFIDENTIAL SDNY_GM_00 198197 EFTA01362548

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Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timeframe to give him. Thanks Xavier Avila Managing Director Deutsche Bank Securities From: GM ACO <S..> Date: Thursday, Mar 01 2018. 15:09 To: Xavier Avila lain Macara an Patel , Mathew Negus ter GM ACO > agail4 , Davide-A Sferrazza • Alastair Mackinlav , Martin Zeman Cc: Nina Tona Subject: RE: SF [1] Classification: For Internal urns only Hi Xavier I've reached out to

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