EFTA Document EFTA01400054

Subject: RE: KYC remediation [I] From: Nina Tona Date: Mon, 25 Feb 2019 18:12:52 -0500 To: Ian Salters < Brian Serino Kareen Johnson Cc: Bill King Davide-A Sferrazza Classification: For internal use only Hi Ian, Will work on these. Thanks. Thank you {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo _metallic 46x46.gif} Nina Tona Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 Tel: + deutschewealth.com EFTA01400054 #Positive Impact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Ian Salters Sent: Monday, February 25, 2019 4:00 PM To: Brian Serino ; Kareen Johnson Cc: Bill Kin. ; Davide-A Sferrazza Nina Tona <ffi; Ian Salters Subject: KYC remediation [I] Classification: For internal use only Brian/Kareen - As previously discussed, the priority list is less than I thought, please see attached clients that need to be onboarded with CIB as a EFTA01400055 priority: Bill - can you please take the lead on the ISG clients (this ties into the 32 clients you previously advised of): Nina / Davide — can you please work together on the IWP clients (understand that Southern Financial is going away): A) Wealth Management fcid:image002.png@OlD4CD35.B78B56B01 B) IWP fcid:image003.png@OlD4CD35.B78B56B01 Kind regards, Ian Salters fhttps://brandportal.intranet.db.com/img/modules/logogrey.gifl Ian Salters COO Americas - Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email Visit us: http://deutschewealth.com EFTA01400056 {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01400057