EFTA01389087.pdf

From: Sarah Rafferty Sent: 3/7/2018 5:37: To: Stewart Oldfield Subject: Frieze New York invitation to Preview day, Wednesday, May 2 We are following the same process as last year — as lone as your invitees meet the criteria outlined below, you may extend the invitation without securing pre-approval in the compliance system. If the client accepts, you will then be required to log in to Compliance using ID in the amount of €152 pp. All details are below including the invitation. If you have any questions, just et me 'now. Thanks. Criteria: • Invitees should be limited to the wealth management client (or prospect) and/or their family members • No sensitive counterparts (including public officials. regulatory agencies. etc.) • O13 payment of client travel & accommodation is not permitted • Pending business at the time of invite is not permitted (i.e. specific discussions pertaining to investment type and amount have occurred and decision or action is pending with client, or discussion on moving assets from bank x to DB). • Prospective business is ok — general relationship building. If your list below meets the above criteria, you may extend the invitation for the Wednesday. May 2 Preview of Frieze New York (imitation is bclo v). If you have any questions please let me know. Thanks. Wed. Pre iew 2 Rudy Sahay 54 Madison CEO Stewart Oldtield Wed. Preview 2 Leon Black Apollo CEO Stewart Oldfield Wed Preview 2 Michael Bloomberg Bloomberg LP CEO Stewart Okffield Founding Wed. Preview 1 Andrew Weinberg Brightstar Partner Stewart Oldfield Wed Preview 1 Renee Noto Brightstar Partner Stewart Oldfield Wed. Pro iew 1 Roger Bulloch Brightstar Partner Stewart Oldficld Wed. Preview 1 Rahul Vaid Crestline Partner Stewart OldtieId Danziger, Wed. Preview 1 Tom Danziger Danziger & Muro JD Stewart Oldfield Wed. Preview 2 Brad Wechsler Elysium CEO Stewart Oldfield Wed Pre\ ten 2 Barry Cohen Elysium President Stewan Oldfield Wed. Preview 2 Frohman Anderson Everwatch CEO Stewart Oldfield Wed Preview 2 Matt Womble Everwatch CIO Stewart Oldficld Wed. Pre\ iew 1 Edouard Gerschel Gerschel Principal Stewart Oldfield Wed. Preview 1 Jonathan Botwinick Gerschel Counsel Stewart Oldficld Wed Preview 2 Katherine Montrone Liberty Lane Partner Stewart Oldtield Wed. NO iCV. 2 Adam Lindemann Lindemann Capital Principal Stewart Oldtield Marron Wed Preview I Don Marron Investments Principal Stewart Oldficld Marron Wed. Preview 1 Tony Persico Investments CIO Stewart Oldheld Wed Preview 1 Todd Meister Meister Global Principal Stewan Oldtield Head Private Wed. Preview 2 Jim Burritt Pacific Life Investments Stewart Oldfield Wed I're\ e 2 Ali Rashid pvt client Suman Oldtield Wed. Pre, h.:xi 1 Greg Martin Shamrock CEO Stewart Oldfield Wed. Preview 1 Stan Gold Shamrock Chairman Stewart Oldfield CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0093347 CONFIDENTIAL SDNY_GM_00239531 EFTA01389087