EFTA Document EFTA01409500

Subject: Fw: ACATS for Southern Financial/Trust [I] From: Tazia Smith a> Date: Mon, 09 Sep 2013 17:50:51 -0400 To: Vahe Stepanian Jay Lipman Classification: For internal use only FYI ONLY Please have this consolidated, thoroughly accurate list (with color on the "yes, but it's difficult to move" positions) for me tomorrow morning. I have a 9:45am with Vinit, so realistically have this by 11am for an 11:30am discussion with Paul and Caroline. Thanks! TDS Forwarded by Tazia Smith/db/dbcom on 09/09/2013 05:49 PM From: dbcom Tazia Smith/db/- To: Paul Morris/db/- dbcom@DBAMERICAS, Date: PM Subject: [I] 09/09/2013 05:49 Re: ACATS for Southern Financial/Trust Classification: For internal use only We're on it Paul. You, Caroline and I need to review an accurate list of the positions that can/cannot/wouldn't come. Based on our conversation Friday, JE EFTA01409500 knows not all will be coming over (proceeds from proprietary product and OTC options will move once matured). We just want to be sure that list of positions that cannot move, is accurate. Jay should have that for is in the morning (he has to check with Pershing, ACAT, etc...various groups); some positions will be a discussion for you, Caroline and I (eg. we agreed novating the FX options wasn't realistic). Sit down in the morning and then go back to Jeff with this info as part of our note of thanks for Friday's meeting? (Embedded image moved to file: pic13625.gif) Tazia Smith Director I Key Client Partners - US Deutsche Bank Securities Inc Deutsche Asset & Wealth Management Email (Embedded image moved to file: pic32121.gif) From: dbcom Paul Morris/db/- To: Amanda Kirby/db/dbcom@DBAMERICAS, Jay Lipman/db/- dbcom@DBAMERICAS, Cc: Tazia Smith/db/dbcom@DBAMERICAS, Vahe Stepanian/db/- dbcom@DBAmericas EFTA01409501 Date: PM Subject: [I] 09/09/2013 05:09 Re: ACATS for Southern Financial/Trust Classification: For internal use only Thanks need to move this forward, Original Message From: Amanda Kirby Sent: 09/09/2013 04:13 PM EDT To: Jay Lipman Cc: Tazia Smith; Vahe Stepanian; Paul Morris Subject: Re: ACATS for Southern Financial/Trust [I] Classification: For internal use only Thank you, Jay. I'll send the account docs to the client today and we can discuss the ACATs further when Paul is in the office tomorrow Best, Amanda Kirby (Embedded image moved to file: pic16899.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas (Embedded image moved to file: pic31605.gif) EFTA01409502 From: dbcom Jay Lipman/db/- To: Amanda Kirby/db/- dbcom@DBAMERICAS, Cc: Tazia Smith/db/dbcom@DBAMERICAS, Vahe Stepanian/db/- dbcom@DBAMERICAS Date: PM Subject: [I] 09/09/2013 04:03 Re: ACATS for Southern Financial/Trust Classification: For internal use only Hi Amanda, As we discussed earlier, the ACAT's will be more complicated than usual due to the exotic nature of some of the assets in the accounts. As for Jeepers, please find attached below the necessary brokerage documents for a corporate account. Please find Completion Instructions: Account Agreement — Please complete highlighted areas on pgs. 1, 6, 7, 14, and 15 Corp Acct. Authorization — Please complete highlighted area and sign/date bottom of pages 1 + 2 [attachment "AWM Acct. Agreement.pdf" deleted by Amanda Kirby/db/dbcom] [attachment "Corporate Account Authorization.pdf" deleted by Amanda Kirby/db/dbcom] [attachment "New Corporate Info Sheet 6.2012.pdf" deleted by Amanda Kirby/db/dbcom] Kind Regards, EFTA01409503 Jay Lipman (Embedded image moved to file: pic23840.gif) Jay Lipman Analyst I Markets Coverage Group Deutsche Bank Securities Inc Deutsche Asset & Wealth Management Email (Embedded image moved to file: pic25734.gif) From: dbcom Amanda Kirby/db/- To: Jay Lipman/db/- dbcom@DBAMERICAS, Cc: Tazia Smith, Vahe Stepanian/db/- dbcom@DBAmericas Date: AM Subject: [I] 09/09/2013 10:59 ACATS for Southern Financial/Trust EFTA01409504 Classification: For internal use only Hi Jay, Wanted to touch base in regards to the ACATS for Southern Trust and Southern Financial. I know you were working on them on Friday. Would like to send them to the client today, if possible. Also, Jeepers Inc was KYC approved on our end. I am going to work on getting those account docs prepared and send them over today. Would you mind sending me Brokerage accounts for them? Thank you Best, Amanda Kirby (Embedded image moved to file: pic01487.gif) Amanda Kirby Associate Deutsche Bank Trust Com any Americas Email (Embedded image moved to file: pic01400.gif) EFTA01409505