EFTA01362823.pdf

From: Sent: To: Ian Salters 4/16/2019 1. Joshua Shoshan ; Liam Osullivan ; Davide-A Sferrazza NON Martin Zeman CC: an a ers ian.sa [email protected] Subject: IWP Package remediation • Phase ii Attachments: IWP Accounts_Summary_Funda (04.16.19).xlsx Classification: For Internal use only Gents Thanks for all your continued help. Please see present file. Basically I see the plan of action going forward is as follows: • Remediate the outstanding packages (Devon, Sarowitz plus Steven Beauchamp & Michael R Haske); • Review the inactive list to see which clients trade with GM and hence need remediating; • Identify which clients have deficient KYC and rectify across WM & GM; • Review the packages to ensure that under the Client Relationship each account has a package or an addendum to the package outlining all the underlying accounts. I am looking to extend this issue to the end of Q1'2020 so we have more breathing room. Comments welcomed. Kind regards. Ian Salters ii[ .iff" I AgiliV Ian Salters C(X) Americas- Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue. 10154-0004 New York. NY. USA Visit us: Mtn: vdcutschewealth.com #Positivelm pact NVP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts' under FINRA Rule 4512(CX3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (FWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052441 CONFIDENTIAL SDNY_GM_00198625 EFTA01362823