EFTA01400006.pdf

Subject: FW: Single client list [I] From: Ian Salters a> Date: Tue, 16 Jul 2019 09:00:53 -0400 To: Nina Tona Davide-A Sferrazza Liam Osullivan Cc: Ian Salters Classification: For internal use only By the end of next week, I have to provide ORM/DCO with a list of our clients. I have taken the attached from the various files they. Can you please sanity check to confirm it is correct and advise of any missing items. Nina — can you help fill in the blanks — KYC / ADL Liam/Davide — can vet the client list and IWP packages. I will arrange a meeting tomorrow to discuss. Ian From: Ian Salters Sent: Thursday, June 20, 2019 10:56 AM To: Davide-A Sferrazza ; Liam Osullivan Cc: Ian Salters < ; Alan Brody Subject: Single client list [I] Classification: For internal use only Dear All EFTA01400006 I know this has been a topic of discussion for some time and a lot of work and effort has already gone into securing client documentation. Kim & Funda have been harassing us for some time on having a single client list and the attached is an attempt to consolidate the information into a single place. It is essential that: 1. We know who our clients are and we keep this up to date (it is also referenced in our KOP). Open to suggestions on best way to proceed; 2. The client has a KYC that is up to date and we know when it needs to be renewed (covered as part of the KYC remediation project); 3. For CIB clients we have an Agency Direction Letter on file so we avoid MIFID reporting requirements (covered as part of the above); 4. For all clients we either have an IWP Adoption Package or a FINRA 2111 letter on file for brokerage clients; 5. We also need to ensure we have IWP Adoption packages for all the clients we have identified (all of which needs to be uploaded into dbForce). I know the above seems a lot but it is essential we get this done over the next 3 months to prove to the DCO/ORM team that we are on top of things, as I go expect a full Audit before year end. Please review the attached and I will arrange a meeting early next week to discuss the way. Please feel free to correct where there are gaps. Kind regards, Ian Salters fhttps://brandportal.intranet.db.com/img/modules/logogrey.gifl Ian Salters COO Americas - Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management EFTA01400007 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 250-0037 Mobile +1 Email Visit us: http://deutschewealth.com {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), 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 (IWP). 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. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01400008