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EFTA Document EFTA01364968EFTA Document EFTA01364970
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sd-10-EFTA01364969Dept. of JusticeOther

EFTA Document EFTA01364969

From: Ariane Dwyer Sent: 1/28/2016 8:08:02 AM To: Daniel Sabba Subject: FW: Gratitude KYC IIJ ; Vahe Stepanian Per Fran's email below we now have two options: 1. Sent does to be reviewed by AML Compliance. I'm not sure why it is a "high risk", but it could be because of JE? 2. Complete reputational risk document with Paul given that JE founded the foundation per the Articles of Incorporation and my call with Rich Let me know what you think. Best, Ari From: Fran M Wickman Sent:

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Dept. of Justice
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sd-10-EFTA01364969
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From: Ariane Dwyer Sent: 1/28/2016 8:08:02 AM To: Daniel Sabba Subject: FW: Gratitude KYC IIJ ; Vahe Stepanian Per Fran's email below we now have two options: 1. Sent does to be reviewed by AML Compliance. I'm not sure why it is a "high risk", but it could be because of JE? 2. Complete reputational risk document with Paul given that JE founded the foundation per the Articles of Incorporation and my call with Rich Let me know what you think. Best, Ari From: Fran M Wickman Sent:

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From: Ariane Dwyer Sent: 1/28/2016 8:08:02 AM To: Daniel Sabba Subject: FW: Gratitude KYC IIJ ; Vahe Stepanian Per Fran's email below we now have two options: 1. Sent does to be reviewed by AML Compliance. I'm not sure why it is a "high risk", but it could be because of JE? 2. Complete reputational risk document with Paul given that JE founded the foundation per the Articles of Incorporation and my call with Rich Let me know what you think. Best, Ari From: Fran M Wickman Sent: Wednesday, January 27, 2016 3:04 PM To: Ariane Dwyer; MO CIP Subject: RE: Gratitude KYC [I] Classification: For Internal use only Ari, This is a high risk account (see page 10) and therefore, will be reviewed by AML Compliance. Please contact them with any further questions. Kind regards, Fran Wickman Ii Fran Wickman Middle Office Operations Deutsche Bank Securities Inc utsche nk Wealth Mane e m nt Puticiawitgasfoopt, From: Ariane Dwyer Sent: Wednesday, January 27, 2016 3:00 PM To: MO CIP Subject: Gratitude KYC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055534 CONFIDENTIAL SDNY_GM_00201718 EFTA01364969

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