EFTA01406384.pdf

Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] From: Joshua Shoshan ‹ > Date: Tue, 13 Mar 2018 14:17:27 -0400 To: Nina Tona Xavier Avila Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman Billy Obregon Ian Salters Nina, hi. Please add Kaiser and Somerston to the priority list. Thanks. I think I thought I sent it, but clearly these names did not make it to the list. Best regards, --Josh {cid:[email protected]} Joshua Shoshan Director I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Email 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. 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EFTA01406384 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 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. From: Nina Tona Sent: Tuesday, March 13, 2018 2:00 PM To: Xavier Avila ; Davide-A Sferrazza >; Alastair Mackinlay ; Tazia ; Joshua Shoshan ; Billy Obregon Ian Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] Classification: For internal use only Hi Tazia, EFTA01406385 We are putting together our KYC/NCA priorities list for our GM accounts. Please let me know if we are missing anything from you perspective. Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 1:55 PM To: Nina Tona Davidea- Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon .c. e.; Ian Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] This is good, below my changes... Let's make sure we collate everyone's priorities....someone reach out to Tazia and co too to see if anything we are missing. From: Nina Tona Sent: Tuesday, March 13, 2018 1:16 PM To: Xavier Avila Davide-A Sferrazza Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] Hi Team, EFTA01406386 Please see the below and advise if the rank priority is correct and help me fill the blanks highlighted in green. Once I get your confirmation, I will forward to Mat and Rita to manage. Priority Rank Team WM Client / Account Name dbcar ID New KYC KYC Review Date Responsible - For Info/Docs Responsible - For Contact/CM Case Manager KYC Target Due Date Live Trades Comments 1 KCP LATAM 03 Capital Global Fund Yes N/A Xavi A Nina T Rita Shteynberg ASAP EFTA01406387 Yes 3/13- Gregg needs to provide AFC - 2 items pending. 2 KCP US Southern Financial LLC No 12/15/2015 Martin Z Nina T Zack Bunimovich ASAP Yes 3/13- Zack came back asking for items. Half were given beginning of Feb. 3 KCP LATAM Tonelle Limited No 6/5/2015 Xavi A Nina T Rita Shteynberg ASAP EFTA01406388 Yes KCP US Anschutz Investments Co Yes N/A Martin Z Nina T Aisha Khan ASAP Yes List of requirements provided and sent to Martin 5 KCP LATAM Blue Media Investments Inc No 8/29/2017 Xavi A Nina T Rita Shteynberg End April None EFTA01406389 No initial response from Case Manager 6 KCP LATAM Fratelli Investments Limited No I/23/2017 Xavi A Nina T Aisha Khan End April None Waiting on response from Case Manager 8 KCP LATAM Inversiones Alabama Limitada N/A Yes N/A Billy 0 Nina T Rita Shteynberg ASAP None EFTA01406390 Waiting on info from Billy 9 KCP LATAM AB Colina Insurance Limited No 8/21/2016 Rodrigo G Nina T Rodrigo should he heading this (Pls Nina speak to Rodrigo) 10 KCP LATAM Armory Fund LDC No 1/31/2014 Billy 0 Nina T Rita Shteynberg Started - Need info from Eduardo EFTA01406391 11 KCP US Amzak Capital Management LLC No 8/6/2017 Martin Z Nina T Not yet sent to Case Manager 12 KCP US MSD Capital L.P. No 10/8/2016 Martin Z Nina T Not yet sent to Case Manager EFTA01406392 13 KCP US AB Centaurus Capital LP No 12/18/2016 Martin Z Nina T Not yet sent to Case Manager 14 KCP LATAM W De Argentina - Inversiones S.A 1007979444 No Xavi A Nina T Rita Shteynberg End April None Waiting on info from Xavi EFTA01406393 Thank you Nina Tona From: Xavier Avila Sent: Monday, March 12, 2018 6:55 PM To: Nina Tona ; Davide-A Sferrazza <- ; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon < MI> Subject: RE: GM KCP Bible - Action Plan - Update I [I] Nina, pls consolidate a priority list of KYC Remediation/NCA/Extensions From all the team So that we can discuss with Ian/Jitan/Mat Thanks From: Nina Tona Sent: Monday, March 12, 2018 :26 PM To: Xavier Avila ; Davide-A Sferrazza < >; Alastair Mackinlay > Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon < M> Subject: RE: GM KCP Bible - Action Plan - Update I [I] EFTA01406394 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 From: Xavier Avila Sent: Monday, March 12, 2018 11:55 AM To: Nina Tona ; Davide-A Sferrazza >; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon <=I > Subject: RE: GM KCP Bible - Action Plan - Update I [I] EFTA01406395 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 To: Nina Tona ; Davide-A Sferrazza < >; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] 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. EFTA01406396 From: Nina Tona Sent: Friday, March 02, 2018 12:29 PM To: Xavier Avila ; Davide-A Sferrazza ; Alastair Mackinlay < > 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 From: Xavier Avila Sent: Friday, March 02, 2018 12:22 PM To: Nina Tona >; Davide-A Sferrazza ; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon cr > Subject: RE: GM KCP Bible - Action Plan - Update I [I] Importance: High EFTA01406397 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 To: Xavier Avila ; Davide-A Sferrazza >; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Team — EFTA01406398 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 < >; Alastair 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 WM Client / Account Name dbcar ID KYC Review Date Renew KYC Y/N Responsible - For Info/Docs Banker EFTA01406399  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 KCP LATAM EFTA01406400  Bradwell Commercial Ltd 9/13/2017 KCP LATAM Drake Aurora Fund 5/29/2015 KCP LATAM Fratelli Investments Limited 1/23/2017 Yes Billy 0 EFTA01406401  Mauricio P Nina T KCP LATAM Inverban 8/7/2017 KCP LATAM Proaltus Capital Partners SL 11/15/2017 EFTA01406402 KCP LATAM Puerto Asis Corporation 12/19/2017 KCP LATAM Signature Capital 8/20/2016 No Billy said client will open a new entity KCP LATAM Tonelle Limited 6/5/2015 EFTA01406403 KCP LATAM Transacciones e Inversiones Arizona SA 2/25/2017 KCP Latam Fratelli Investments Limited,BM I/23/2017 EFTA01406404 KCP LATAM AB Colina Insurance Limited 8/21/2016 Yes Rodrigo G KCP US Amzak Capital Management LLC 8/6/2017 KCP US Canyon Green Solemint LLC,US / Geoffrey H Palmer,US EFTA01406405 7/6/2016 KCP US DAVID H MURDOCK LIVING TRUST 12/19/2017 KCP US Dean Holdings Inc 12/31/2017 EFTA01406406 KCP US Gapstow 11/18/2016 KCP US George Kaiser Family Foundation 9/2/2016 Yes Xavi A Davide S KCP US EFTA01406407 Guardian Investment Company Ltd,BS 10/28/2013 KCP US 3MB Capital Partners LP 12/31/2017 KCP US Somerston Investments Ltd,GB 12/31/2017 EFTA01406408 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 EFTA01406409 KCP US MSD Capital L.P. 10/8/2016 KCP US AB Centaurus Capital LP 12/18/2016 Thank you EFTA01406410 Nina Tona From: Xavier Avila Sent: Tuesday, Februar 20, 2018 7:00 PM To: Nina Tona ; Davide-A Sferrazza < ; Alastair Mackinlay < 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 ; Xavier Avila >; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Np. Sounds good! Thank you, Nina Tona From: Davide-A Sferrazza Date: Tuesday, Feb 20, 2018, 5:44 PM To: Nina Tona , Xavier Avila Alastair Mackinlay EFTA01406411 Cc: Martin Zeman , Joshua Shoshan , Billy Obregon <= > 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 < => 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. 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 EFTA01406412  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 To: Nina Tona ; Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan [I] 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 Alastair Mackinlay Cc: Xavier Avila EFTA01406413 Subject: GM KCP Bible - Action Plan [I] Classification: For internal use only Hi Davide, 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 Team WM Client / Account Name dbcar ID GM or Umbrella Account Active EFTA01406414 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 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 EFTA01406415 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 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. EFTA01406416 EFTA01406417