EFTA Document EFTA01362621

From: Tanushree Kirti Sent: Wednesday, 25 July, 2018 0:32 To: Mattias Fuerstenber er Julia Rubio-Luque ; Emily Craig ; Ines Schultze-Enden Christopher Lai nya Hunjan Subject: List of WM clients dependent on CIB ICG sales (I) Classification: For internal use only Hi All, As part of the offboarding retention exercise, we have identified a process improvement opportunity in CIB for WM clients where WM is dependent on Institutional Client Group (ICG) Sales desk to place trades for the client. Currently, there have been issues identified with such clients when WM retains the clients and appoints a WM ACO, trades can sometimes get blocked by ICG as their 'good to go' system (tradefinder) shows red due to the lack of a CIB ACO even if WM ACO has been centrally appointed. To overcome this challenge, CIB has asked us to provide a list of all WM clients that have trades instructed via ICG. I already have a list from KCP US and KCP EMEA where they have an agreed set up with ICG. Before I revert to CIB, I wanted to check with the regional leads if there are any WM coverage clients, not subject to data secrecy, in your region that should be added to the this list? Please let me know. Kind Regards, Tanu Kirti Tanu Kirti Director Zig Zag Building Deutsche Wealth Management Limited 70 Victoria Street. SW1E 65O London, United Kingdom CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052116 CONFIDENTIAL SDNY_GM_00198300 EFTA01362621