EFTA01382226.pdf

Joanne Jensen Managing Director I Private Banker Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 0154-0004 New York, NY, USA Pgacin417herann, Securities offered through Deutsche Bank Securities Inc. From: Vaishali-P Mehta Sent: Wednesday, April 05, 2017 12:23 PM To: Andrew Gallivan Cc: Mark Gonzalez; Rachel Maglicic; Stewart Oldfield; Brian P Convey; Joanne Jensen; Jennifer Shaw; Andrea Nicoletti; Rosemary Vrablic; Mary A Coleman; Terrence F Tangney; Terri Sohrab Subject: MD approval for ACUs completed for High Risk Clients [I] Classification: For Internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner I RM. Which means if the RM is an MD, the approval must come from another MD who is in their reporting line. In that regard, could you please approve the below ACUs? Annual Annual GCIS Client A15. Client Client Customer Customer Customer Name MD Update: A14. Status Update A16. A17. Update: Owner Number Created Description ID Date Commitments to the fund are raised from a number of sources The entity is a including Private Equity personal Investments firm. pension Commitments to funds, financial the fund are raised institutions, from a number of foundations, sources including endowments, CJA Private personal pension and wealthy Equity funds, financial individuals. Yr Financial institutions, Net Profit Restructuring foundations, $10MM, Master Fund I, Andrew endowments, and Investable Mark 82744 00000469756 L.P. Gallivan 3/8/2017 wealthy individuals. Assets No No Gonzalez CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081501 CONFIDENTIAL SDNY_GM_00227685 EFTA01382226