EFTA01432498.pdf

Subject: RE: MD approvals for Hi h Risk ACUs completed [I] From: Andrew Gallivan Date: Mon, 27 Jun 2016 14:13:53 -0400 To: Vaishali-P Mehta Cc: Douglas Robertson Stewart Oldfield Leo Bresnahan Paul Morris Classification: For internal use only Approved From: Vaishali-P Mehta Sent: Monday, June 27, 2016 1:28 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Leo Bresnahan; Paul Morris Subject: MD approvals for High Risk ACUs completed [I] Classification: For internal use only Dear Andrew, All the below ACUs were completed for High Risk clients showing no material changes to the client's circumstances. Please review the ACU comments, and reply back with your approval. Annual Client Update: ID Customer Owner SILO MD GCIS Customer Number Customer Name Annual Client Update: Created Date A14. EFTA01432498  A15. Client Status Update Description A16. A17. 75302 Douglas Robertson US-Onshore Andrew Galivan 00000469532 Millstein & Co. LLC 5/31/2016 Millstein & Co remains a restructuring focused advisory firm based in DC and NY with the emphasis on corporate and sovereigns. The purpose of the meeting was to perform a comprehensive annual review of the personal and corporate accounts. We discussed Millstein & Co's involvement with the Puerto Rico debt restructuring, general muni & market outlooks, and the positioning of various investment accounts. The business accounts are fairly straightforward as they continue to serve as the operating accounts for the business. No No 75240 Douglas Robertson US-Onshore Andrew Galivan 00000113123 Simon, J. Peter 5/24/2016 The client continues to live and work in NJ area, where family office WES & EFTA01432499 Sons operates. The topic of discussion included the current state of affairs with the family office, market outlook, and a review of certain anticipated transactions. There are no material changes with this client. No No 75819 Leo Bresnahan TRUST Andrew Galivan 00000482108 Brett Dylan Bagley Irrevocable Trust 6/14/2016 No changes No changes No No 75248 Leo Bresnahan TRUST Andrew Galivan 00000482112 Conor Reynolds Bagley Irrevocable Trust 5/24/2016 No changes No changes EFTA01432500  No No 75254 Leo Bresnahan TRUST Andrew Galivan 00000483766 Marital Trust FBO Elizabeth Bagley 5/24/2016 No changes No changes No No 75244 Leo Bresnahan TRUST Andrew Galivan 00000482111 Nicole Ladmer Bagley Irrevocable Trust 5/24/2016 No changes No changes No No EFTA01432501 75249 Leo Bresnahan TRUST Andrew Galivan 00000482110 Smith Beau Walker Bagley Irrevocable Trust 5/24/2016 No changes No changes No No 75246 Leo Bresnahan TRUST Andrew Galivan 00000482109 Taylor M. Bagley Irrevocable Trust 5/24/2016 No changes No changes No No 75253 Leo Bresnahan EFTA01432502 TRUST Andrew Galivan 00000484581 The Conor Bagley Appointive Trust U/W of Smith Bagley 5/24/2016 No change No changes No No 75252 Leo Bresnahan TRUST Andrew Galivan 00000484582 The Vaughan Bagley Appointive Trust U/W of Smith Bagley 5/24/2016 No changes No changes No No 75250 Leo Bresnahan TRUST Andrew Galivan 00000484583 EFTA01432503 TR FB0 Conor R Bagley UA dtd 10/27/95 by Smith Bagley 5/24/2016 No changes No changes No No 75251 Leo Bresnahan TRUST Andrew Galivan 00000484587 TR FB0 Vaughan E Bagley UA dtd 11/26/90 by Elizabeth F Bagley 5/24/2016 No changes No changes No No 75245 Leo Bresnahan TRUST Andrew Galivan 00000482107 Vaughan Elizabeth Bagley Irrevocable Trust 5/24/2016 EFTA01432504  No changes No changes No No 75792 Stewart Oldfield US-Onshore Andrew Galivan 00000483883 Southern Trust Company, Inc. 6/14/2016 Southern Trust Company has not changed its nature of business within the past year. it is still a private investment company and has no changed. Southern Trust is still a private investment company and has not had any changes No No 75022 Paul Morris US-Onshore Andrew Galivan 00000409100 Black, Leon D. EFTA01432505 5/10/2016 client is CEO of Apollo Global management. Family office established in 2014 to manage family wealth. Distributions from APO and other diversified investments. Yes No 75020 Paul Morris US-Onshore Andrew Galivan 00000486427 J. Epstein Virgin Islands Foundation, Inc 5/10/2016 Private foundation investment income Yes No 75019 Paul Morris US-Onshore Andrew Galivan 00000486423 Jeepers, Inc 5/10/2016 Jeepers is sub S managing various investments EFTA01432506 investment activities, advisory services Yes No 75018 Paul Morris US-Onshore Andrew Galivan 00000487266 Mort, Inc 5/10/2016 Mort is entity holding shares of private company Jawbone Holds private investment No No 75021 Paul Morris US-Onshore Andrew Galivan 00000486428 The Haze Trust 5/10/2016 Investment vehicle No change Yes No EFTA01432507 Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management 60 Wall Street, 27th Floor, 10005-2836 New York, NY, USA Tel. Mobil Email EFTA01432508