EFTA01406450.pdf

Subject: FW: GM KCP Bible - Action Plan - U date I [I] From: Davide-A Sferrazza Date: Tue, 13 Mar 2018 14:07:34 -0400 To: Joshua Shoshan ‹ > Classification: For internal use only From: Nina Tona Sent: Friday, March 02, 2018 12:16 PM To: Xavier Avila ; Davide-A Sferrazza ; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Classification: For internal use only Team — Please let me know which clients are of priority so we can start the NCA process. Thank you Nina Tona From: Nina Tona Sent: Wednesday, Februar 21, 2018 11:30 AM To: Xavier Avila ; Davide-A Sferrazza ; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon <E > Subject: RE: GM KCP Bible - Action Plan - Update I [I] EFTA01406450 Classification: For internal use only Team, For all the below clients KYC review date is overdue. Please review and advise if, 1- renew KYC and 2- who will be my contact for info. Team WM Client / Account Name dbcar ID KYC Review Date Renew KYC Y/N Responsible - For Info/Docs Banker Responsible - For Contact/CM Case Manager Comments KCP LATAM Armory Fund LDC 1/31/2014 Yes Billy 0 EFTA01406451  Nina T Started - Need info from Eduardo KCP LATAM Blue Media Investments Inc 8/29/2017 KCP LATAM Bradwell Commercial Ltd 9/13/2017 KCP LATAM EFTA01406452  Drake Aurora Fund 5/29/2015 KCP LATAM Fratelli Investments Limited 1/23/2017 Yes Billy 0 Mauricio P Nina T KCP LATAM Inverban 8/7/2017 EFTA01406453 KCP LATAM Proaltus Capital Partners SL 11/15/2017 KCP LATAM Puerto Asis Corporation 12/19/2017 EFTA01406454 KCP LATAM Signature Capital 8/20/2016 No Billy said client will open a new entity KCP LATAM Tonelle Limited 6/5/2015 KCP LATAM Transacciones e Inversiones Arizona SA 2/25/2017 EFTA01406455 KCP Latam Fratelli Investments Limited,BM 1/23/2017 KCP LATAM AB Colina Insurance Limited 8/21/2016 Yes Rodrigo G EFTA01406456 KCP US Amzak Capital Management LLC 8/6/2017 KCP US Canyon Green Solemint LLC,US / Geoffrey H Palmer,US 7/6/2016 KCP US DAVID H MURDOCK LIVING TRUST EFTA01406457  12/19/2017 KCP US Dean Holdings Inc 12/31/2017 KCP US Gapstow 11/18/2016 EFTA01406458 KCP US George Kaiser Family Foundation 9/2/2016 Yes Xavi A Davide S KCP US Guardian Investment Company Ltd,BS 10/28/2013 KCP US EFTA01406459 3MB Capital Partners LP 12/31/2017 KCP US Somerston Investments Ltd,GB 12/31/2017 KCP US Southern Financial LLC 1007406812 12/15/2015 Yes Martin Z EFTA01406460  Nina T Zack Bunimovich Process has started KCP US West Family Investments Inc 1/13/2015 KCP US MSD Capital L.P. 10/8/2016 EFTA01406461 KCP US AB Centaurus Capital LP 12/18/2016 Thank you Nina Tona From: Xavier Avila Sent: Tuesday, Februar 20 2018 7:00 PM To: Nina Tona ; Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon < M> Subject: RE: GM KCP Bible - Action Plan - Update I [I] Good work, let's review later this week.... EFTA01406462 From: Nina Tona Sent: Tuesday, February 20, 2018 5:50 PM To: Davide-A Sferrazza ; Xavier Avila ; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] Np. Sounds good! Thank you, Nina Tona From: Davide-A Sferrazza ‹ > Date: Tuesday, Feb 20, 2018, 5:44 PM To: Nina Tona , Xavier Avila ‹ > Alastair Mackinlay Cc: Martin Zeman , Joshua Shoshan , Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] Thanks for your work on this, Nina — let me come back with updates from my side, and we can discuss. Regards, Davide EFTA01406463 From: Nina Tona Sent: Tuesday, Februar 20, 2018 5:21 PM To: Xavier Avila ; Davide-A Sferrazza >; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon ‹ > Subject: RE: GM KCP Bible - Action Plan - Update I [I] Classification: For internal use only Hi Team — just wanted to send an update on the progress. Completed dbCAR IDs confirmed Added KYC Review Date — we need to review this and start KYC reviews Latam Tab — products/entities added Alex Brown Tab - products/entities added Revenues for P/S 2017 added Pending Good to Trade — Davide ISDA — Nina and Davide Revenues — GM 2017/2018 and P/S 2018 Live Trade — Davide first shot, then Nina will help GM or Umbrella Account — Davide and Nina Add products and entities for US Tab Thank you EFTA01406464 Nina Tona From: Xavier Avila Sent: Friday, Februar 16, 2018 11:05 AM To: Nina Tona ; Davide-A Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon <MI > Subject: RE: GM KCP Bible - Action Plan [I] Nina and I discussed today the below and I gave her my thoughts around the tab "Bible"... From: Nina Tona Sent: Thursday, February 15, 2018 2:28 PM To: Davide-A Sferrazza Alastair Mackinlay Cc: Xavier Avila Subject: GM KCP Bible - Action Plan [I] Classification: For internal use only Hi Davide, As per our conversation, we have decided to add and format the s/s as per below. Saved: Z:\KCP - Americas\KCP Capital Markets\GM KCP Main Client List EFTA01406465 @Xavi — let us know if you have any objections to what we are trying to do. Tab 1 — Main file "WM KCP GM Clients" — Will show To add: 1. Good to Trade — Davide 2. ISDA — Nina and Davide 3. Revenues — Nina and Ali Live Trade — Davide first shot, then Nina will help 5. GM or Umbrella Account — Davide and Nina Team WM Client / Account Name dbcar ID GM or Umbrella Account Active Retain Good To Trade ISDA Live Trade Banker KCP Coverage ACO KYC Outreach RP RR GM 2017 Revenues EFTA01406466 GM 2018 Revenues GM Sales 2017 KCP (P/S) Revenue 2018 KCP (P/S) Revenue Notes Tab 2 — "Latam", Tab 3 — "US", Tab I — "Alex Brown" — Will show In addition to the info in Tab 1, it will also have all the products they are active for Tab 5 — Off-Boards — Will show The clients that we have decided we no longer want to retain Thanks Kind regards, fhttps://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gifl Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management EFTA01406467 5022 Gate Parkway Jacksonville, Florida 32256 Tel. Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. EFTA01406468