EFTA01460008.pdf

Deutsche Asset & Wealth Management Wealth Management Americas Annual Client Update Form Primary Client Customer X Other Clients in Update Other Customer X Meeting/Call Type: : Phone Call In Person Location Moeting/Call Date List All Participants Is the most recent KYC on DBForce? Yes Client Risk Rating (leave blank if low) Moderate : High Relationship and Account Overview: (please indicate "Yes" or "No") Is the reason for the update that an account is being opened in a new booking center? Yes No Are there any new parties to be included on the accounts (POAs, signatories, etc.)? Yes No Are there any changes in actual or expected monthly transaction activity in any account? Yes No Financial status: (relevant for all parties contributing to source of wealth) Did significant new funds (25% or more of existing balances) come in from an external source not previously described? Yes No Was there a change of 25% or more in the client's financial situation or overall wealth (e.g., income, assets, net worth) since the client's financial status was last updated? Yes I I No Professional / Geographic status: (relevant for all parties involved in the relationship) Has the client's principal residence or, for entities, principal office location, changed, or have we lost contact? ' Yes No Has the client's primary occupation or business, or where it is conducted, changed ? Yes ( No If the client is an entity, has there been a change in ownership of any person owning 25% or more if the entity is publicly traded, 5% or more if the entity if not publicly traded, or any percent if the entity is a PIC? Note: if the client is an unregistered investment company (U/CI, these percentages apply to the U/C manager(s) and investment advisor(s) rather than to the U/C itself Yes No Have bearer shares been newly issued or transferred (if applicable)? Yes No Public Exposure: (relevant for all parties involved in the relationship) Has a party been subject to a criminal or regulatory investigation or negative media? Yes No Has a party become a PEP or public figure since the last review? Yes No Has a party become involved in or threatened litigation against any 1)8 entity? Yes No Suitability Assessment Have the client's general investment guidelines, investment risk tolerance, investment time horizon, or knowledge of higher risk investment products changed? Yes No WM11146031 019587 107314 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 120861 CONFIDENTIAL SDNY_GM_00267045 EFTA01460008