EFTA01362612.pdf

From: Nina Tona Sent: 10/9/2018 12:19:54 PM To: Davide-A Sferrazza CC: Ian Salters Subject: FW: List of WM c lents epen ent on CIB ICG sales [Il [SC] Attachments: WM clients_ICG coverage 31July2018 - CIB KCP US update.xlsx; image001.gif; image002.gif Hi Davide, Please review the attached and advise if we need to retain. I need this as soon as possible. Thank Nina Tona Awl,late Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management KCP products and services ore intended ond available onh,for persons who ore sophisticotedinstitutionalinvestors within the meaning of the FINRA Rule 4512(O(3). and who ore capable 0 evaluating the strategies. characteristics and investment risks of, and exercising independent judgment in evatiating. the ideas and products discussed herein. Trades and transactions ore subpart to relevant internal approvals of 089 or its offdates pnoe to execution, and the execution of any transaction or idea discussed hereinis conditional on your becoming o client of Deutsche Bank Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein ore providedfor 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 presentedfor 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 port of DB.St or any of its affiliates. From: Tanushree Kirti Sent: Tuesday, October 09, 2018 11:25 AM To: Nina Tona Ian Salters ~> Subject: RE: List of WM clients dependent on CIB ICG sales II] ISCI Classification: Strictly Confidential Hi Nina, The ask below was sent to US KCP in August. Please see my attached email where I asked for Red/Amber clients in GM, there were specific actions for US KCP to either check the file was up to date in dbCar or provide an ACO approval. Can you pls advise urgently so green status for GM Red/Amber clients can be confirmed with CIB's central offboarding team and we can hand over this list to ICG via Vicky Bruce to ensure the trade systems appropriately reflect the green status. Best, Tanu CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052107 CONFIDENTIAL SDNY_GM_00198291 EFTA01362612