EFTA01368143.pdf

Due Diligence Why is AFC Assignment required? (Tick as many as required) Other ML Source Material Change Conditional Country Factors Sanctions & PEP Bearer Industry Product of have boon Negative In risk Embargoes Nexus Shares Consultation Sou rceO1WealthAFC Risk Approval Risk Risk Funds Information rating identified false false false false false false false false false false false false SRC Nexus No Name List Screening Yes Screening system AFC Volcker negative Super 23A Lexis Sanction CDD PCR Internal Target Embargo Google list of Fi rcoSoft RDC Yahoo Other Restricted Nexis lists Gateway Norkom Lists lists lists rejected list clients false false false false false false false true false false false false false false Please provide details Searches ran with FucoSoft Adoption Information initiator Jesse-J Cruz Location of Initiator USA Request Type Product Extension (PE) Business Sponsors & Approvers • Business Adoption Adoption Entity Product Business Sponsor BA Location Business Unit BS Location Approver Location OTC Denvatrves Joe Aglione DB AG (London) John Kennedy USA Markets United Kingdom (Rates) Matthew OConnor DB AG (London) Commodities Jahn Bindal Markets United Kingdom Joe Aglione DB AG (London) FX Options John Kennedy USA Markets United Kingdom Joe Aglione DB AG (London) FX Cash John Kennedy USA Markets United Kingdom Martin Zeman DB AG (London) Convertible Bonds Martin Zeman USA Markets USA United Kingdom Joe Aglione DB AG (London) Fixed Income Christopher Hatch USA Markets United Kingdom Xavier Avila DB AG (London) GED Martin Zeman USA Markets USA United Kingdom Global Credit Xavier Avila DB AG (London) Martin Zeman USA Markets USA United Kingdom Derivatives AFC AFC Comments System Approval NOT Product Extension View of the Business Business Recommendation Continue the relationship Page 16 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059804 CONFIDENTIAL SDNY_GM_00205988 EFTA01368143