EFTA01408611.pdf

Subject: RE: Redaill imem From: Nina Tona Date: Tue, 27 Feb 2018 09:54:31 -0500 To: Megha Arora James Rochfo Dirren Patel Cc: Alastair Mac Jitan Patel Davide-A Sfe Classification: For internal use only Hi Megha, Thank you. Jane doesn't seem to know why they are on the red list. Can you please call me to clarify? Since you are in charge of the red list I need to know why they are there and how to remove them from the red list. Nina Tona From: Megha Arora Sent: Tuesday, February 27, 2018 9:02 AM To: ; James Rochford < Cc: astair ac in ay Jitan Patel Subject: RE: Red List [I] Classification: For internal use only Hi Nina — As James mentioned below, Clearing House operates the syndication of red list. I notice, you have extended the meeting invite to Jane Varley. She will be in the best position to answer these questions. EFTA01408611 Kind regards, Megha From: Nina Tona Sent: Tuesday, February 27, 2018 8:59 AM To: James Rochford Cc: Alastair Machinlay Ji Subject: RE: Red List [I] Classification: For internal use only Ok, that's good. But why are they on a red list and the trades are rejected. Who has this red list? Thank you Nina Tona From: Megha Arora Sent: Tuesday, Februar 27, 2018 8:54 AM To: Nina Tona James Rochford Jitan Patel Subject: RE: Red List [I] Classification: For internal use only EFTA01408612 Thanks Nina. Also, separately I checked with my client notification team. No letters have been sent for both clients. Kind regards, Megha From: Nina Tona Sent: Tuesday, Februar 27 2018 7:32 AM To: James Rochford Cc: Alastair Mackinlay Jitan Patel ; Meg a rora u ject: : e ist [I] Classification: For internal use only Hi James — I have added Jane. Thank you Nina Tona From: James Rochford Sent: Monday, February 26, 2018 10:51 PM To: Nina Tona u.jec : : es is Hi Nina, EFTA01408613 We are happy to go through the below questions with you. Please can you also add Jane Varley to your meeting? The Clearing House operate the syndication of the Red List, and also operate the retained process therefore are best placed to respond to many of your questions below. Please also be aware the Red List contains both clients divisions of CIB have selected to Offboard for commercial reasons, it will also include KYC delinquent cases for which option to retain is limited. Thanks in advance James From: Nina Tona Sent: 26 Februar 2018 23:55 To: Megha Arora James Rochford < Subject: Red List [I] Classification: For internal use only Hello Megha and James, We have found out today that two of our clients are on a red list which I was unaware of. Both of the clients in question we asked to be retained through Jane Varley and her team. Jitan says there are emails coming from EFTA01408614 you regarding the red list which I am not a part of. 1. Who is currently signing off from WM and how can I be included going forward in respect to KCP? 2. Can I see the full red list? 3. If clients are asked to be retained from Jane Varley, why are they on the red list? Do the teams not connect? 4. Tonell — please advise why it's on the red list. Feb 15th it showed up on the lavastorm list and we advised to retain. 5. Southern Financial — we asked to retain a while back and we are in the process of an NCA and a product extension. Why is this on the red list? This is all very confusing and frustrating because it doesn't seem like the teams communicate with one another and they should. Your help will be greatly appreciated. Kind regards, {https://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gif} Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management 5022 Gate Parkway EFTA01408615 Jacksonville, Florida 32256 Tel. Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for 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 presented for 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 part of DBSI or any of its affiliates. EFTA01408616