EFTA Document EFTA01406647

Subject: RE: SF [I] From: Rita Shteynberg Date: Mon, 05 Mar 2018 11:07:53 -0500 To: Xavier Avila Mathew Negus Jitan Patel Zack Bunimovich Cc: Alastair Mackinla Martin Zeman Davide-A Sferrazza Mathew Negus Nina Tona Classification: For internal use only Including Zack who will be the case manager on this. From: Xavier Avila Sent: Monday, March 05, 2018 10:59 AM ; Mathew Negus Patel Cc: Alastair Mackinlay altar artin 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 From: Rita Shteynberg Sent: Friday, March 02 2018 12:41 PM To: Mathew Ne us Varley ; Nina Tona ; GM ACO Mak Xavier Avila ain Macara Jitan Patel • Martin Zeman Davide-A Sferrazza Anwar ; Tanushree Kirti Bunimovich Subject: RE: SF [I] Jane ; Aziz Zack EFTA01406647 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 ~I!~ GM ACO ; Xavier Avila ain acara >; Rita Shteynberg ; Jitan Patel Cc: Alastair Mackinlay Martin Zeman Davide-A Sferrazza Anwar siginainds 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 Mathew Negus Director I ICG Business Management From: Nina Tona Sent: Friday, March 02, 2018 12:22 PM EFTA01406648 To: Jane Varley GM ACO lain Macara Jitan Patel Cc: Alastair Mackinla Anwar Subject: RE: SF [I] Importance: High Davide-A Sferrazza Tanushree Kirti 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 Cc: Nina Tona Sferrazza Tanushree Kirti Subject: RE: SF [I] 02, 2018 11:04 AM Xavier Avila Rita Shteynberg Mathew Negus <M~I Alastair Mackinla Martin Zeman ; Aziz Anwar lain Macara Jitan Patel Davide-A Classification: For internal use only EFTA01406649 +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 Sent: 02 March 2018 15:22 To: Xavier Avila Rita Shteynberg Mathew Negus Cc: Nina Tona errazza Subject: RE: SF [I] On Behalf Of GM ACO lain Macara ■ Jitan Patel ; Jane Varley Alastair Mackinla Martin Zeman Classification: For internal use only Hi Xavier Davide-A EFTA01406650 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. Email EFTA01406651 From: Xavier Avila Sent: 02 March 2018 13:53 To: GM ACO ; lain Macara Shteynberg Jitan Patel 11~.1.1~; Mathew Negus Cc: Nina Tona ' ^" ‘; Alastair Mackinlay Martin Zeman Davide-A Sferrazza Subject: Rita 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 xavier.avila@db.com From: GM ACO 4.1111.11111.11 Date: Thursday, Mar 01, 2018, 15:09 To: Xavier Avila Rita ShteynbergI Mathew Negus lain Macara Jitan Patel GM ACO Cc: Nina Tona Alastair Mackinlay Martin Zeman ~~~, Davide-A Sferrazza Subject: RE: SF [I] EFTA01406652 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. Email From: Xavier Avila Sent: 01 March 2018 19:25 To: lain Macara Cc: Nina Tona titan Patel Rita Shte nber ; Mathew Negus ACO Alastair Mackinlay Martin Zeman ; Davide-A Sferrazza EFTA01406653 Subject: RE: SF [I] GM ACO, can you pls let us know what We have a client trying to execute Thanks the issue is? a transaction. From: lain Macara Sent: Thursday, March 01, 2018 11:48 AM To: Xavier Avila Jitan Patel ; GM ACO < Cc: Nina Tona Alastair Mackinlay •=1~1011~.~ Martin Zeman Sferrazza Subject: RE: SF [I] Rita Shteynberg Mathew Negus Davide-A Gm ACO — can you liaise with central merc and establish the CIB colour on the rhp below? thx From: Xavier Avila Sent: 01 March 2018 16:08 To: lain Macara Rita Shteynberg i an a e • ' • ; Alastair Mackinlay Martin Zeman Sferrazza Subject: SF Mathew Negus Davide-A EFTA01406654 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@OlD3B17D.15561DF01 Kind regards, {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gif} Nina Tona Associate Business Control Manager, Key Client Partners — Americas EFTA01406655 Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, Florida 32256 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. EFTA01406656