EFTA01373578.pdf

Thanks Chris From: Isabel-A Gonzalez Sent: 01February 2017 11:51 To: Christopher Whyton Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Chris, I have done a bit of digging on this. As per below table, two of this names were indeed included in the Phase I of the Trading Outreach. The other 2 may have happen offline via lain. Please see below the details I have been able to extract: Person GM Sales Sponsor for In trading Sales Making COMM (MAI NAME Outreach outreach Phased ACO suggested suggested Suggest williarn Beaumont Hospital anthony.camPiCedb.com Proven Wealth Adrienne Bruce limited Adrienne Coyle Alex Giannou Coyle Harkness. EM Southern Financial, tic Vahe Stepanlan Matt Barnett Matt Barnett Tradition SEF, Inc. Olivier Pariente - TCG Yes Olivier Pariente - TCG (TCG) (TCG) My suggestions are: • #1 - reach out to Anthony. He is very responsive • #2 — reach out to ACO, and Bruce. • #3 — reach out to Vahe • #4 — reach out to Matt. Thanks. Kind regards, Isabel. Isabel Gonzalez ICG Sales COO Team Deutsche Bank AG. FiIiale London Winchester House. 1 Great Winchester Street TeI:+44 (0) 207 54 18901 I EC2N 2DEI London From: Christopher Whyton Sent: 01 February 2017 09:37 To: Isabel-A Gonzalez Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Isabel CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067839 CONFIDENTIAL SDNY_GM_00214023 EFTA01373578