EFTA Document EFTA01414797

Subject: RE: Canyon requests - AIS - KCP [I] From: Stewart Oldfield Date: Tue, 22 Nov 2016 10:34:40 -0500 To: Zbynek Kozelsky Daniel Sabba Darlene Zong Cc: Todd Stevens Classification: For internal use only Please don't make decisions like this without including me in the discussion. Give me a call when you can From: Zbynek Kozelsky Sent: Tuesday, November 22, 2016 10:34 AM To: Daniel Sabba; Stewart Oldfield; Darlene Zong Cc: Todd Stevens Subject: RE: Canyon requests - AIS - KCP [I] Classification: For internal use only Stew, Daniel is correct. I am not going to approve any AIS for this client for Canyon. Thank you Ziggy fcid:image003.png@O1CFFD0A.6F882F501 EFTA01414797 Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Daniel Sabba Sent: Tuesday, November 22, 2016 10:32 AM To: Stewart Oldfield; Darlene Zong Cc: Zbynek Kozelsky; Todd Stevens Subject: RE: Canyon requests - AIS - KCP [I] Classification: For internal use only Stew — I received guidance from Todd/Ziggy we wouldn't be marketing Canyon to Southern Financial. EFTA01414798 From: Stewart Oldfield Sent: Tuesday, November 22, 2016 10:30 AM To: Daniel Sabba; Darlene Zong Subject: FW: Canyon requests - AIS - KCP [I] Classification: For internal use only Can we send these today? Thanks From: Zbynek Kozelsky Sent: Tuesday, November 15, 2016 5:44 PM To: Stewart Oldfield Cc: Mathew Negus; Todd Stevens; Joseph Dursi Subject: RE: Canyon requests - AIS - KCP [I] Classification: For internal use only Stew, Just tell Daniel/Darlene to submit AIS requests for Canyon for Epstein/- Southern Financial and TFMG. Please keep in mind that TFMG is a COD account. You won't be able to book Canyon there unless you have a new account (cash). Thank you {cid:image003.png@O1CFFD0A.6F882F50} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager EFTA01414799 Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Stewart Oldfield Sent: Tuesday, November 15, 2016 5:21 PM To: Zbynek Kozelsky Cc: Mathew Negus; Todd Stevens; Joseph Dursi Subject: RE: Canyon requests - AIS - KCP [I] Classification: For internal use only Then please tell me specifically what I need to do and for which clients. Are we only talking about Southern Financial and Tisch? From: Zbynek Kozelsky Sent: Tuesday, November 15, 2016 3:14 PM EFTA01414800 To: Stewart Oldfield Cc: Mathew Negus; Todd Stevens; Joseph Dursi Subject: RE: Canyon requests - AIS - KCP [I] Classification: For internal use only I am afraid we may be in violation of KCP KOPs if we do it your way... Thank you Ziggy fcid:image003.png@O1CFFD0A.6F882F501 Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not EFTA01414801 responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Stewart Oldfield Sent: Tuesday, November 15, 2016 3:11 PM To: Zbynek Kozelsky Cc: Mathew Negus; Todd Stevens; Joseph Dursi Subject: RE: Canyon requests - AIS - KCP [I] Classification: For internal use only One team one dream. Seems silly to have to go multiple places for the same thing. Let me know which names Andrew submitted that you think KCP should submit. Then have the relevant KCP coverage team submit for me. Thanks From: Zbynek Kozelsky Sent: Tuesday, November 15, 2016 3:08 PM To: Stewart Oldfield Cc: Mathew Negus; Todd Stevens Subject: Canyon requests - AIS - KCP [I] Classification: For internal use only Hi Stew, EFTA01414802 Regarding any Canyon AIS requests please work directly with your KCP coverage team (for KCP covered accounts). ISG may not enter such request(s) and act on behalf of KCP. Thank you Ziggy {cid:image003.png@O1CFFD0A.6F882F50} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you EFTA01414803 are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. EFTA01414804