EFTA01376259.pdf

From: Coley Jellinghaus Sent: Thursday, October 11, 2018 10:35 AM To: Kimberly Hart at. Cc: zia Memon <S>: Diana Canter >; Funda Bozkurt <= .>; Zbynek Kozelsky Subject: RE: Butterfly brokerage [C] [I] Classification: For Internal use only Ok that's what I thought. This would not be a 'ring fence' opportunity to pursue. I'll assign the new account to someone on my team. Thanks From: Kimberly Hart Sent: Wednesday, October 10, 2018 7:59 PM To: Coley Jellin haus < ; Diana Canter <: >; Funda Bozkurt >; Zbynek Kozelsky > Subject: Re: Butterfly brokerage [C] [I] KCP should only be servicing KCP eligible clients - with the exception of a few clients belonging to Josh Shoshan which have been ring-fenced with special controls (including a quarterly attestation). If this account is another exception, someone will need to detail how it will be handled and what special controls will be put in place. Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 345 Park Avenue, New York, NY 10154 Tel. Fax Mo Email Securities offered through Deutsche Bank Securities Inc On Oct 10, 2018, at 11: 19 A \I ('oley Jellinghaus <colev.jellinnhausOdb.com> wrote: Classification: For Internal use only To be clear, I have not asked if we can adopt this account to KCP, I'm forwarding a request from the Banker to have this account covered by KCP as the POA on the account IS a KCP adopted account and is covered by the KCP team. The Banker thinks that for continuity the POA on this account would prefer to have one desk to trade with (KCP). I know that the KCP desk currently covers accounts that are not KCP adopted, hence the request from the Banker to maintain coverage on one desk. If answer is no, I am perfectly fine with it, and will assign ISG coverage to the new account. Thank you CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0072238 CONFIDENTIAL SONY GM_00218422 EFTA01376259