EFTA Document EFTA01406718

Subject: RE: GM KCP Bible - Action Plan - Update I [I] From: Nina Tona ‹ > Date: Mon, 12 Mar 2018 16:25:51 -0400 To: Xavier Avila Davide-A Sferrazza Alastair Mackinla Cc: Martin Zeman Joshua Shoshan Billy Obregon Classification: For internal use only WM Argentina — KYC — please advise once you have the info. Email was sent. Blue Media Investments Inc — KYC — waiting on the onboarding team to come back Fratelli Investments Limited — KYC - waiting on the onboarding team to come back Also can you pls send me the below info Vulcan send me PNL per asset class — will send once I receive Fintech add to our list of LatAm clients and send me dbCAR picture and PNL — will send you an email separately with the possible names. Kawa add to our list of LatAm clients and send me dbCAR picture and PNL waiting on the onboarding team to come back Anschutz Investment Company — Onboarding into Fixed Income DBSI and Loan Trading in DBNY - Waiting on list, should have shortly. Thank you Nina Tona EFTA01406718 From: Xavier Avila Sent: Monday, March 12, 2018 11:55 AM >; ; Davide-A Sferrazza < Alastair Mackinlay > To: Nina Tona Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] My focus here... WM Argentina - KYC Blue Media Investments Inc - KYC Fratelli Investments Limited - KYC Also can you pls send me the below info Vulcan send me PNL per asset class Fintech add to our list of LatAm clients and send me dbCAR picture and PNL Kawa add to our list of LatAm clients and send me dbCAR picture and PNL Anschutz Investment Company — Onboarding into Fixed Income DBSI and Loan Trading in DBNY From: Xavier Avila Sent: Friday, March 02, 2018 1:08 PM >; Alastair Mackinlay ; To: Nina Tona Davide-A Sferrazza < Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] EFTA01406719 Let's target end of March/Mid April? I also need to give you W of Argentina, but I am in Buenos Aires on the 13-14 of March and I will visit them as I have not seen them before And of course 03 is priority. From: Nina Tona Sent: Friday, March 02, 2018 12:29 PM Mackinlay ; To: Xavier Avila Davide-A Sferrazza >; Alastair Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] Can you give me timeframes on when you need these done by? Blue Media Investments Inc — will send to case management Fratelli Investments Limited (Nina, why do we have 2 entries?) Fratelli twice by accident. Transacciones e Inversiones Arizona SA (now Alabama, Billy?) — Waiting on info from Billy Colina Insurance Limited (Nina pls check with Rodrigo what's up here) — I'll check with Rodrigo Thank you Nina Tona EFTA01406720 From: Xavier Avila Sent: Friday, March 02, 2018 12:22 PM >; ; Davide-A Sferrazza < Alastair Mackinlay > To: Nina Tona Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Importance: High Everyone comes back with our top 3 priorities Mine are Blue Media Investments Inc Fratelli Investments Limited (Nina, why do we have 2 entries?) Transacciones e Inversiones Arizona SA (now Alabama, Billy?) Colina Insurance Limited (Nina pls check with Rodrigo what's up here) Billy, let's discuss rest of LatAm Josh, see GKFF Martin, SF? And who is looking at MSD and Centaurus Capital LP ? From: Nina Tona Sent: Friday, March 02, 2018 12:16 PM EFTA01406721 >; Alastair Mackinlay ; Davide-A Sferrazza To: Xavier Avila Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon < => Subject: RE: GM KCP Bible - Action Plan - Update I [I] Team — Please let me know which clients are of priority so we can start the NCA process. Thank you Nina Tona From: Nina Tona Sent: Wednesday, Februar 21, 2018 11:30 AM To: Xavier Avila ; Davide-A Sferrazza < Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] Team, For all the below clients KYC review date is overdue. Please review and advise if, 1- renew KYC and 2- who will be my contact for info. Team EFTA01406722 WM Client / Account Name dbcar ID KYC Review Date Renew KYC Y/N Responsible - For Info/Docs Banker Responsible - For Contact/CM Case Manager Comments KCP LATAM Armory Fund LDC 1/31/2014 Yes Billy 0 Nina T Started - Need info from Eduardo KCP LATAM Blue Media Investments Inc 8/29/2017 EFTA01406723 KCP LATAM Bradwell Commercial Ltd 9/13/2017 KCP LATAM Drake Aurora Fund 5/29/2015 EFTA01406724 KCP LATAM Fratelli Investments Limited I/23/2017 Yes Billy 0 Mauricio P Nina T KCP LATAM Inverban 8/7/2017 KCP LATAM Proaltus Capital Partners SL 1000596483 11/15/2017 EFTA01406725 KCP LATAM Puerto Asis Corporation 12/19/2017 KCP LATAM Signature Capital 8/20/2016 No EFTA01406726 Billy said client will open a new entity KCP LATAM Tonelle Limited 6/5/2015 KCP LATAM Transacciones e Inversiones Arizona SA 2/25/2017 KCP Latam Fratelli Investments Limited,BM EFTA01406727 1/23/2017 KCP LATAM AB Colina Insurance Limited 8/21/2016 Yes Rodrigo G KCP US Amzak Capital Management LLC 8/6/2017 EFTA01406728 KCP US Canyon Green Solemint LLC,US / Geoffrey H Palmer,US 7/6/2016 KCP US DAVID H MURDOCK LIVING TRUST 12/19/2017 KCP US EFTA01406729 Dean Holdings Inc 12/31/2017 KCP US Gapstow 11/18/2016 KCP US George Kaiser Family Foundation 9/2/2016 Yes Xavi A EFTA01406730 Davide S KCP US Guardian Investment Company Ltd,BS 10/28/2013 KCP US 3MB Capital Partners LP 12/31/2017 EFTA01406731 KCP US Somerston Investments Ltd,GB 12/31/2017 KCP US Southern Financial LLC 12/15/2015 Yes Martin Z Nina T Zack Bunimovich Process has started KCP US West Family Investments Inc 1/13/2015 EFTA01406732 KCP US MSD Capital L.P. 10/8/2016 KCP US AB Centaurus Capital LP 12/18/2016 EFTA01406733 Thank you Nina Tona From: Xavier Avila Sent: Tuesday, Februar 20, 2018 7:00 PM ; A ; Davide-A Sferrazza lastair Mackinlay < To: Nina Tona Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, February 20, 2018 5:50 PM To: Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman •; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] ; Xavier Avila Np. Sounds good! EFTA01406734 Thank you, Nina Tona From: Davide-A Sferrazza Date: Tuesday, Feb 20, 2018, 5:44 PM To: Nina Tona , Xavier Avila < Alastair Mackinlay Cc: Martin Zeman >, Joshua Shoshan , Billy Obregon <IMMM > Subject: RE: GM KCP Bible - Action Plan - Update I [I] >, Thanks for your work on this, Nina — let me come back with updates from my side, and we can discuss. Regards, Davide From: Nina Tona Sent: Tuesday, Februar 20, 2018 5:21 PM To: Xavier Avila ; Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon <1 1> Subject: RE: GM KCP Bible - Action Plan - Update I [I] Classification: For internal use only Hi Team — just wanted to send an update on the progress. EFTA01406735 Completed dbCAR IDs confirmed Added KYC Review Date — we need to review this and start KYC reviews Latam Tab — products/entities added Alex Brown Tab - products/entities added Revenues for P/S 2017 added Pending Good to Trade — Davide ISDA — Nina and Davide Revenues — GM 2017/2018 and P/S 2018 Live Trade — Davide first shot, then Nina will help GM or Umbrella Account — Davide and Nina Add products and entities for US Tab Thank you Nina Tona From: Xavier Avila Sent: Friday, February 16, 2018 11:05 AM >; ; Davide-A Sferrazza Alastair Mackinlay To: Nina Tona Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon <=I > Subject: RE: GM KCP Bible - Action Plan [I] EFTA01406736 Nina and I discussed today the below and I gave her my thoughts around the tab "Bible"... From: Nina Tona Sent: Thursday, February 15, 2018 2:28 PM To: Davide-A Sferrazza Cc: Xavier Avila Subject: GM KCP Bible - Action Plan [I] Classification: For internal use only Hi Davide, Alastair Mackinlay As per our conversation, we have decided to add and format the s/s as per below. Saved: Z:\KCP - Americas\KCP Capital Markets\GM KCP Main Client List @Xavi — let us know if you have any objections to what we are trying to do. Tab 1 — Main file "WM KCP GM Clients" — Will show To add: 1. Good to Trade — Davide 2. ISDA — Nina and Davide 3. Revenues — Nina and Ali 4. Live Trade — Davide first shot, then Nina will help 5. GM or Umbrella Account — Davide and Nina EFTA01406737 Team WM Client / Account Name dbcar ID GM or Umbrella Account Active Retain Good To Trade ISDA Live Trade Banker KCP Coverage ACO KYC Outreach RP RR GM 2017 Revenues GM 2018 Revenues GM Sales 2017 KCP (P/S) Revenue 2018 KCP (P/S) Revenue Notes Tab 2 — "Latam", Tab 3 — "US", Tab 4 — "Alex Brown" — Will show EFTA01406738 In addition to the info in Tab 1, it will also have all the products they are active for Tab 5 — Off-Boards — Will show The clients that we have decided we no longer want to retain 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. Key Client Partners (KCP) products, investment ideas and solutions and EFTA01406739 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. EFTA01406740