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sd-10-EFTA01380206Dept. of JusticeOther

EFTA Document EFTA01380206

From: Ian Salters Sent: 10/11/2018 6:51:30 PM To: Stewart Oldfield CC: Kimberl Hart Subject: RE: Butter ly Trust C I am comfortable with this. Ian Sent with BlackBerry Work (www.blackberry.com) ; Zbynek Kozelsk ; Martin Zeman From: Stewart OleicId Date: Thursday. Oct 11, 2018, 18:32 To: Zbynek Kozelsk m>, Ian Salters Cc: Kimberly Had < artin Zeman <ii Liam Osullivan Subject: RE: Butterfly Trust IC] Ziggy and Ian, I just spoke to Kim (copied here). She's comfortable with

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Dept. of Justice
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sd-10-EFTA01380206
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From: Ian Salters Sent: 10/11/2018 6:51:30 PM To: Stewart Oldfield CC: Kimberl Hart Subject: RE: Butter ly Trust C I am comfortable with this. Ian Sent with BlackBerry Work (www.blackberry.com) ; Zbynek Kozelsk ; Martin Zeman From: Stewart OleicId Date: Thursday. Oct 11, 2018, 18:32 To: Zbynek Kozelsk m>, Ian Salters Cc: Kimberly Had < artin Zeman <ii Liam Osullivan Subject: RE: Butterfly Trust IC] Ziggy and Ian, I just spoke to Kim (copied here). She's comfortable with

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From: Ian Salters Sent: 10/11/2018 6:51:30 PM To: Stewart Oldfield CC: Kimberl Hart Subject: RE: Butter ly Trust C I am comfortable with this. Ian Sent with BlackBerry Work (www.blackberry.com) ; Zbynek Kozelsk ; Martin Zeman From: Stewart OleicId Date: Thursday. Oct 11, 2018, 18:32 To: Zbynek Kozelsk m>, Ian Salters Cc: Kimberly Had < artin Zeman <ii Liam Osullivan Subject: RE: Butterfly Trust IC] Ziggy and Ian, I just spoke to Kim (copied here). She's comfortable with this arrangement if you both feel this meets your needs as well and we document accordingly. Please confirm. Thanks From: Liam Osullivan Sent: Thursday, October 11, 2O18 3:31 PM To: Stewart Oldfield fl it Cc: Martin Zeman < bynek Kozelsky Ian Salters Subject: Butterfly Trust [CI Classification: Confidential I discussed the below with Ziggy, Ian and Martin. We propose that the Butterfly Trust is opened with the KCP team. We will open the account under the N4G prefix. We will request a new CA number for Martin Zeman that will be used to separate Butterfly Trust from accounts that have signed KCP packages on file. Martin will sign a quarterly attestation that the account is not being offered KCP products. Kind regards, Liam O'Sullivan ra Liam O'Sullivan CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0078463 CONFIDENTIAL SDNY_GM_00224647 EFTA01380206

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Related Documents (6)

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Subject: RE: Butterfl Trust C I From: Kimberly Hart Date: Fri, 12 Oct 2018 07:59:13 -0400 To: Ian Salters , Stewart Oldfield , Zbynek Kozelsk Cc: Martin Zeman Liam Osulliva zia Memon Classification: For internal use only Thanks Ziggy — Are you comfortable that you can properly monitor activity based on the proposed controls? All — Before we move forward, Zia just needs to review the corporate docs. {https://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.

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Subject: RE: Butterfl Trust [C] [I] From: zia Memon Date: Fri, 12 Oct 2018 To: Kimberly Hart Ian Salters Stewart Oldfield Zbynek Kozelsky Liam Osullivaar Cc: Martin Zeman 09:54:37 -0400 I just completed review of the trust document, didn't see any restriction or prohibition, ok with me to move forward. Thank you. Kind Regards Zia Memon Managing Director I Head, WM-US Business Supervisory Office Deutsche Bank Securities Inc. Wealth Management Americas 345 Park Avenue 10154-0004

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Subject: RE: Butterfl Trust C From: Ian Salters Date: Thu, 11 Oct 2018 18:51:30 -0400 To: Stewart Oldfield Zbynek Kozels Cc: Kimberly Hart Martin Zeman Liam Osullivan I am comfortable with this. Ian Sent with BlackBerry Work (www.blackberry.com) From: Stewart Oldfield ‹ > Date: Thursday, Oct 11, 2018, 18:32 To Ziggy and Ian, I just spoke to Kim (copied here). She's comfortable with this arrangement if you both feel this meets your needs as well and we document accordingly. Plea

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Subject: FW: Butterfly Trust [C] From: Stewart Oldfield ‹ > Date: Thu, 11 Oct 2018 16:16:09 -0400 To: Kimberly Hart Kim, I'd like to keep coverage of this account with the KCP brokerage team since they understand how the client likes to trade. The account will most likely trade cash equities and bonds, and it will be straightforward to ensure that they do not engage in any non-suitable products. Please let me know how to get this to the right place. We have new account docs back from th

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Subject: RE: Butterfly Trust [C] From: Stewart Oldfield ‹ > Date: Thu, 11 Oct 2018 18:32:29 -0400 To: Zbynek Kozelsky Ian Salters < Cc: Kimberly Hart Martin Zeman Liam Osullivan Bcc: Ziggy and Ian, I just spoke to Kim (copied here). She's comfortable with this arrangement if you both feel this meets your needs as well and we document accordingly. Please confirm. Thanks From: Liam Osullivan Sent: Thursday, October 11, 2018 3:31 PM To: Stewart Oldfield Cc: Martin Zeman ; Ian Salt

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Subject: RE: Butterfly Trust [C] From: Zbynek Kozelsky Date: Thu, 11 Oct 20181! To: Stewart Oldfield ‹ > Kim Hart fcid:image003.png@O1CFFD0A.6F882F501 Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Investment Solutions Group US & Latin America Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New Yor Tel. +1 Email: All trade execution information contained herein is being provided as an accommodation at your request in adv

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