EFTA Document EFTA01406443

Subject: FW: Red List [SC] ur ent From: Nina Tona Date: Tue, 23 Oct 2018 14:59:24 -0400 To: Davide-A Sferrazza ‹ > Hi can you please review the attached and let me know if we need to add more cleints so they wont be on the red list. {https://brandportal.intranet.db.com/img/modules/- DAWN_ logo_ metallic 46x46.gif} Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management Tel. 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 EFTA01406443 obligation on the part of DBSI or any of its affiliates. From: Tanushree Kirti Sent: Monday, October 22, 2018 2:19 PM To: Nina Tona Subject: RE: Red List [SC] Classification: Strictly Confidential Nina — is the below acknowledged and can you pls close this with the latest ICG dependent list and Xavi's approval on the Red/Amber cases not on the 52k offboarding list. I would like to hand this over to Vicky Bruce to manage with lain Macara and co. Best, Tanu fcid:image001.gif@OlD4138A.5BCB6D201 Tanu Kirti Director WM Mercury Implementation Programme Manager Tel. Mobile Email "WM Mercury on myDB" From: Tanushree Kirti Sent: 19 October 2018 13:39 To: Nina Tona Subject: RE: Red List [SC] EFTA01406444 Classification: Strictly Confidential Hi Nina, I asked for confirmation on the attached email that I sent to you and separately you had said you will dig out Xavi's email for the red list client approvals. Best, Tanu fcid:image001.gif@OlD4138A.SBCB6D201 Tanu Kirti Director WM Mercury Implementation Programme Manager Tel. Mobile Email "WM Mercury on myDB" From: Nina Tona Sent: 19 October 2018 13:33 To: Tanushree Kirti ‹ > Subject: Red List Hi Tanu, Hope all is well. EFTA01406445 I was made aware that the red list where we need help from ICG to execute trades its being held up by the US. I have provided this list a while back and from our conversation a week or so ago I recall you saying that you were going to send me the list you had to I can review and see if I need to add anymore. Please advise the next step. Thanks Kind regards, 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. 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. EFTA01406446 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. EFTA01406447