EFTA01388510.pdf

From: Stewart Oldfield Sent: 7/30/2018 9:53:23 AM To: Sarah Rafferty Subject: RE: Next steps: Napa Conference (IJ Thanks. When will you have the names for nextgen? From: Sarah Rafferty Sent: Friday, July 27, 2018 10:13 AM To: Stewart Oldfield Subject: Next steps: Napa Conference [Ij Classification: For Internal use only You nominated: Brad Wechsler Brad Briner Kelly Masuda Greg Martin Ken Jones Robert Forsythe Frohman Anderson Matt Womble Glenn Warren Heather Crosby James Burritt Chuck Chai Paul Barrett George Lindemann Adam Lindemann See compliance pre-approval details below. If you have any questions, please let me know. Please keep me apprised of clients that express interest in attending. Thanks. Compliance: This is a high-priced event and requires compliance pre-approval. Compliance will ask you to confirm the following criteria: I. Attendees must only be connected to principals who arc making decisions with respect to their own private wealth: 2. Attendees must not be family officers or trustees in respect to any funds/investments managed by DB: 3. Attendees must not be attending on behalf of principals who arc public officials. 4. The attendees must not be involved in pending business decisions with DB (sec below for further details): Pending Business - Clients: Pending business at time of invite is NOT OK (specific discussions pertaining to investment type and amount have occurred, and decision or action is pending with client). Clients: Prospective business is OK (general relationship building, positioning DB capabilities, new investment vehicles etc.) Prospects: Prospective business is OK (general relationships building. positioning DB capabilities) Prospects: Pending business/specific pitches at time of invite is NOT OK (discussion on moving assets from bank x to DB). Parent ID — 3MAC Cost per person if 1 person per hotel mom - $3,771.99 and if couple cost pp is $3,056.61 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0092094 CONFIDENTIAL SDNY_GM_00238278 EFTA01388510