EFTA Document EFTA01435858

Subject: RE: MIFID II & research - access to portal for clients [I] From: Stewart Oldfield e > Date: Thu, 09 Nov 2017 15:15:48 -0500 To: Anna-Sofiya Lupolover Bcc: I'm not exactly sure who registered from each client, but the likely emails are below. If anyone gets shut off and cares, I'm sure they will call to be reactivated. Thanks Steve Warner swarner@tfmg.net Paul Barrett Third Lake Paul Watson ■ Robert Forsythe Orix — skip for now. I think the people who were registered left the firm Thanks From: Anna-Sofiya Lupolover Sent: Thursday, November 09, 2017 3:12 PM To: Stewart Oldfield e > Subject: RE: MIFID II & research - access to portal for clients [I] Classification: For internal use only To clarify, Nikhil Patel is the individual from Safanad. But who should be receiving for the other entities you mentioned? Do you have their email addresses? EFTA01435858 Safanad - Nikhil Patel - Orix Tisch — Steve Warner Alpha Group — Paul Barrett Third Lake Kind Regards, Anna-Sofiya fcid:3 =0ABBF755DFDBA10A8f9e8a93df9386909@db.coml Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. +1(212)454-0204 Fax +1(646)690-1193 Email anna-sofiya.lupolover@db.com Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Thursday, November 09, 2017 12:38 PM To: Anna-Sofiya Lupolover EFTA01435859 Subject: RE: MIFID II & research - access to portal for clients [I] Yes, thanks. From: Anna-Sofiya Lupolover Sent: Thursday, November 09, 2017 11:34 AM To: Stewart Oldfield ‹ > Subject: FW: MIFID II & research - access to portal for clients [I] Classification: For internal use only Hello, GM was able to identify some names of clients that are currently on their portal, and they came back with this list for your clients. This list may not be complete. However, would you please confirm whether or not these individuals should be given access to the new research portal? Please let me know. Thank you. Contact First Name Last Name Email Coverage Employee Client Name Nikhil Patel. EFTA01435860 Deutsche Bank Securities INC,XX Kind Regards, Anna-Sofiya {cid:3 =0ABBF755DFDBA10A8f9e8a93df9386909@db.com} Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. +1(212)454-0204 Fax +1 646 690-1193 Email Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Thursday. November 02 2017 10:20 AM Subject: RE: MIFID II & research - access to portal for clients [I] Classification: For internal use only Hello, EFTA01435861 If you have not had the chance to provide your list of clients who need access to the new Research portal, please do so by the end of the day. As a reminder, we will need the client's name and email address. Thank you. Kind Regards, Anna-Sofiya fcid:3 =0ABBF755DFDBA10A8f9e8a93df9386909@db.coml Anna-Sofiya Lupolover Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. +1(212)454-0204 Fax +1(646)690-1193 Email Securities offered through Deutsche Bank Securities Inc. From: Sheffali Welch Sent: Tuesday. October 31. 2017 8:31 AM Subject: FW: MIFID II & research - access to portal for clients [I] Classification: For internal use only All, DB Research is changing its approach to distributing Research with the EFTA01435862 launch of their new Research portal in November and MIFID II go-live in January. An email was sent to relevant DB WM staff regarding their individual access to Research with the attached primer, noting that research will be distributed via secure links and pdf distribution will be stopped. Some of you have asked us to consider & identify our clients who currently have access to the DB Research and need to retain this access. They need to be registered again ahead of the go-live of the new portal in November. To that effect, could you please provide me with any clients (incl. address mails) that already have access to DB Research and that you would like to be onboarded on the new portal? If you can send in the next couple days please if possible. Apologies for the late notice. Kind regards, Sheffali fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Sheffali Welch Chief Operating Officer, Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY, USA Tel. +1 212 250-1316 Mobile +1 646 638-3415 Email EFTA01435863