EFTA Document EFTA01406906

Subject: FW: Jeffrey Epstein / Southern Financial [I] From: Xavier Avila Date: Fri, 29 Sep 2• To: Daniel-E Kaiser Martin Zeman Cc: Joshua Shoshan Vahe Stepanian I spoke to Keith today on several ISDA fronts. On Southern Financial derivatives front, we cannot move fwd until 1) We have their financials (Zeman/Vahe chasing client) 2) Kim gives Nick/Keith green light on rep issues. My question is, why would be fine to trade cash products with them and not OTC derivs? Dan, let's put a call to Kim on Monday. From: Keith Buckholz Sent: Friday, September 29, 2017 5:24 PM To: Xavier Avila Subject: FW: Jeffrey Epstein / Southern Financial [I] FYI From: Keith Buckholz Sent: Friday, September 29, 2017 5:21 PM To: Kimberly Hart Cc: Nicholas Haigh Subject: RE: Jeffrey Epstein / Southern Financial [I] EFTA01406906 Hi Kim, Just checking in. KCP is pretty eager to move forward. Thanks. Regards, Keith Buckholz {https://brandportal.intranet.db.com/img/modules/logo.gif} Keith Buckholz, CAIA Director I Credit Risk Officer Deutsche Bank Wealth Management Business aligned Risk Management 345 Park Avenue, MS NYC20-1406 New York, NY 10154 Tel: Mobile: From: Kimberly Hart Sent: Tuesday, September 26 2017 6:39 PM To: Keith Buckholz Cc: Nicholas Haigh Subject: Re: Jeffrey Epstein / Southern Financial [I] EFTA01406907 Thanks so much for the heads up. Dan Kaiser and Martin Zeman spoke to me about the client yesterday and I am taking a look at the client review process when he was originally onboarded. Kimberly Hart Managing Director I Regional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. Fax Mobile Email Securities offered through Deutsche Bank Securities Inc On Sep 26, 2017, at 6:12 PM, Keith Buckholz <keith.buckholz@db.com> wrote: Classification: For internal use only Kim, I want to bring this relationship to your attention given his background. KCP would like to re-engage this client from a credit risk (OTC derivatives) standpoint. Prior to providing CRM approval to trade OTC derivatives I wanted to ensure that this client has gone through the high risk KYC process and defer to you in terms of whether this needs to go through Reputational Risk Committee (or if it has already received Reputational Risk approval). Happy to discuss if easier. Regards, EFTA01406908 Keith Buckholz <image001.gif> Keith Buckholz, CAIA Director I Credit Risk Officer Deutsche Bank Wealth Management Business aligned Risk Management 345 Park Avenue, MS NYC20-1406 New York, NY 10154 Tel: Mobile: EFTA01406909