EFTA Document EFTA01387727

Mob' Emai Securities offered through Deutsche Bank Securities Inc. On Aug 31, 2018, at 7:21 AM, Vijay-A Sawan wrote: Hi Stewart, Please see pending confirmations required in KYC Case for Butterfly & Neptune, below — • Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. • Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case Kindly advise on the above so we can complete this case and submit to AML for approval, thanks. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche cm Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Go 400063, India Tel From: Vijay-A Sawant Sent: Friday, August 24, 2018 2:39 PM To: Stewart Oldfield Richard larossi Cc: Mayur Rathod Bradley Gillin < Subject: RE: 2018 Periodic Review of High Risked Account (GCla), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP (lj Importance: High Hello Richard, We have received material change confirmation from Brad on below accounts as per attached email. So following are list of items pending on these accounts - CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0090831 CONFIDENTIAL SDNY_GM_00237015 EFTA01387727