EFTA Document EFTA01401905

Subject: RE: SF [I] From: Zack Bunimovich Date: Mon, 05 Mar 2018 12:58:19 -0500 To: Xavier Avila Rita Shteynber Mathew Negus Jitan Patel < Cc: Alastair Mackinlay Martin Zeman Davide-A Sferrazza Mathew Negus Nina Tona Classification: For internal use only Hi Xavier, Nothing else is needed from your end at the moment. I will send this request to the KYC team for review and then setup. Can you confirm Credit Derivatives is the only necessary extension? I know Convertible Bonds were also in the discussion. I see the BR 1007494283 set up for a decent amount of products already. See below. {cid:image004.jpg@OlD38481.24466390} Thanks, Zack From: Xavier Avila Sent: Monday, March 05, 2018 11:45 AM To: Rita Shteynberg ; Mathew Negus ; Jitan Patel ; Zack Bunimovich Cc: Alastair Mackinlay ; Davide-A Sferrazza Mathew Negus >; Nina Tona Subject: RE: SF [I] ; Martin Zeman EFTA01401905 Thanks Rita. Zack, let us know what next steps are. From: Rita Shteynberg Sent: Monday, March 05, 2018 11:08 AM Jitan Patel ; Zack Bunimovich < ; Mathew Negus < To: Xavier Avila Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza Mathew Negus >; Nina Tona Subject: RE: SF [I] Including Zack who will be the case manager on this. From: Xavier Avila Sent: Monday, March 05, 2018 10:59 AM Shte Mathew Negus ; Jitan Patel Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza Mathew Negus >; Nina Tona Subject: RE: SF [I] Hi Rita/Mat, let us know what we need to extend SF to Credit Derivatives as the client is still live in one trade they want to execute. Thanks EFTA01401906 From: Rita Shteynberg Sent: Friday, March 02, 2018 12:41 PM To: Mathew Negus Varle ; GM ACO ; lain Macara Cc: Alastair Mackinlay ; Davide-A Sferrazza Anwar >; Tanushree Kirti Bunimovich Subject: RE: SF [I] ; Nina Tona < >; Jane ; Xavier Avila ; Jitan Patel ; Martin Zeman Thanks for the confirmation. We will proceed with the onboarding. From: Mathew Negus Sent: Friday, March 02, 2018 12:34 PM To: Nina Tona ; Jane Varley ; Xavier Avila ; Rita Shteynberg ; Aziz ; Zack ; GM ACO ; lain Macara ; Jitan Patel Cc: Alastair Mackinlay Martin Zeman Davide-A Sferrazza Anwar >; Tanushree Kirti Subject: RE: SF [I] ; Aziz I'll take this one for Jitan. As CIB green please proceed with the NCA process and the inherent KYC update. Thank you EFTA01401907 Mathew Negus Director I ICG Business Management I +1(212)250-6746 From: Nina Tona Sent: Friday, March 02, 2018 12:22 PM To: Jane Varley < ; GM ACO ; Iain Macara ; Jitan Patel Cc: Alastair Mackinlay ; Davide-A Sferrazza >; Tanushree Kirti Anwar Subject: RE: SF [I] Importance: High Classification: For internal use only ; Xavier Avila ; Rita Shteynberg ; Mathew Negus Martin Zeman ; Aziz Jane — NCA is still in progress. Rita and her team are working on it. They stopped the NCA once they found out it was in red. Jitan will inform them now to complete the NCA. @Jitan — Please inform Rita to continue with the NCA. Thank you Nina Tona From: Jane Varley Sent: Friday, March To: GM ACO 02, 2018 11:04 AM ; Xavier Avila ; Rita Shteynberg a ; lain Macara ; Jitan Patel EFTA01401908 Cc: Nina Tona Sferrazza < Tanushree Kirti Subject: RE: SF [I] ; Mathew Negus ; Alastair Mackinlay ; Martin Zeman ; Davide-A ; Aziz Anwar Classification: For internal use only +Aziz and Tanu Hi Monika, This was a WM US retain from the Offboarding Clearing House process, that currently reflects in the overall CIB file colour (not coverage colour). Hence green. Nina — was NCA completed? We can't see it reflected in dbCAR (still appears delinquent) but I know that is part of the broader conversation that Julia is having with Paul Chapman. Thanks Jane From: Monika Valantiejute On Behalf Of GM ACO Sent: 02 March 2018 15:22 To: Xavier Avila Rita Shteynber Mathew Negus Cc: Nina Tona ; lain Macara ; Jitan Patel ; Jane Varley ; Alastair Mackinlay ; Martin Zeman < ,-; Davide-A Sferrazza EFTA01401909 Subject: RE: SF [I] Classification: For internal use only Hi Xavier The GB adoption location is Red across all business but this is CIB Green for the US adoption location — as one of the businesses has asked to retain this. @Jane please confirm which business asked to retain? In these instances, the GM products will not be offboarded if another business has asked to retain and the KYC/ACO responsibility sits with that business. However, please also be aware that this is a High Risk client which is KYC deficient and was last reviewed in 2015. Please let me know if any other questions. Kind regards, fcid:image001.png@OlDOEEF9.E65DD1C01 Monika Valantiejute GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. +44 (0) 2075410657 EFTA01401910 Email From: Xavier Avila Sent: 02 March 2018 13:53 To: GM ACO Shteynberg ; lain Macara ; Rita ; ..litan Patel • Mathew Negus Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman < ::•; Davide-A Sferrazza Subject: RE: SF [I] Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timeframe to give him. Thanks Xavier Avila Managing Director Deutsche Bank Securities Office: +1 212 4542892 Mobile: From: GM ACO < > Date: Thursday, Mar 01, 2018, 15:09 To: Xavier Avila , lain Macara , Rita Shteynberg , Jitan Patel , EFTA01401911 Mathew Negus ffi , GM ACO < > Cc: Nina Tona , Alastair Mackinlay , Martin Zeman ffi , Davide-A Sferrazza Subject: RE: SF [I] Classification: For internal use only Hi Xavier I've reached out to Central Mercury to find out the CIB colour - I will update as soon as I hear back. Kind regards, fcid:image001.png@OlDOEEF9.E65DD1C01 Monika Valantiejute GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. +44 (0) 2075410657 Email EFTA01401912 From: Xavier Avila Sent: 01 March 2018 19:25 To: lain Macara >; Rita Shteynberg ; Jitan Patel >; GM ACO Cc: Nina Tona ›; Alastair Mackinlay ; Martin Zeman a; Davide-A Sferrazza Subject: RE: SF [I] Mathew Negus GM ACO, can you pls let us know what the issue is? We have a client trying to execute a transaction. Thanks From: lain Macara Sent: Thursday, March 01, 2018 11:48 AM To: Xavier Avila ; Rita Shteynberg Cc: Nina Tona Sferrazza < Subject: RE: SF [I] ; Mathew Negus ; Alastair Mackinla Martin Zeman ; Davide-A Gm ACO — can you liaise with central merc and establish the CIB colour on the rhp below? thx EFTA01401913 From: Xavier Avila Sent: 01 March 2018 16:08 To: lain Macara ; J ; RitaSite ber itan Patel ; Mathew Negus Cc: Nina Tona ; Alastair Mackinla Martin Zeman ; Davide-A Sferrazza Subject: SF Ian, thanks for the call. So Rita who is the Case Manager seems to suggest that she sees Southern Financial Red and therefore we cannot extend it to Credit Derivatives, while we think we should see this Green from a KCP perspective. Bu you explain to me that the Red might be only when it comes to your ICG world. Can you pls clarify if this client is Red for everyone including KCP and if so how do we turn it Green, as discussed this is an example of a KCP Americas account that is ACOed by us, in this case myself. Thanks Xavi From: Nina Tona Sent: Thursday, March 01, 2018 11:00 AM To: Xavier Avila < > Subject: SF fcid:image001.png@OlD3817D.15561DF01 Kind regards, EFTA01401914 fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, Florida 32256 Tel. +1(904)271-3445 Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. EFTA01401915 EFTA01401916