EFTA01373340.pdf

New York. NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Alka Babu Sent: Thursday, November 01, 2018 10:32 AM To: Bradley Gillin Cc: Vinita Advani Vijay-A Sawant Stewart Oldfield ; Richard larossi Subject: RE: Assistance required in resolving points - KYC Classification: For internal use only Hi Brad, Good Morning, a kind reminder on the only pending information needed for this case to be re-submitted. c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also required for legal reps. - We need your assistance on the status of Lawrence Visoski. Reaching out to client. Will revert. Kind regards, Alka Babu KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 4-00063, India From: Bradley Gillin Sent: Wednesday, October 24, 2018 11:16 PM To: Alka Babu Cc: Vinita Advani O; Vijay-A Sawant Stewart Oldfield <[email protected]>; Richard larossi <[email protected]> Subject: RE: Assistance required in resolving points - KYC I] Classification: For Internal use only Alka, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067463 CONFIDENTIAL SDNY_GM_00213647 EFTA01373340