EFTA01408541.pdf

Subject: RE: KYC remediation [I] From: Nina Tona Date: Thu, 28 Feb 2019 15:39:24 -0500 To: Bill King Ian Salters Cc: Davide-A Sferrazza Classification: For internal use only Hi Bill —can you please call me to clarify the below when you have a minute, not sure I understand your status. Thank you fhttps://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gifl Nina Tona Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 Tel: + deutschewealth.com #Positive Impact IWP products and services are intended for and available only to EFTA01408541 sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Bill King Sent: Wednesday, February 27, 2019 4:02 PM To: Nina Tona : Ian Salters Cc: Davide-A Sferrazza Subject: RE: KYC remediation [I] Classification: For internal use only Nina, Attached please find the the status of the 12 WM accounts below, highlighted in blue. Regards, EFTA01408542 Bill From: Nina Tona Sent: Wednesday, February 27, 2019 10:28 AM To: Ian Salters Cc: Bill King ; Davide-A Sferrazza Subject: RE: KYC remediation [I] Classification: For internal use only Ian — I have added the below to our SharePoint tracker, to also include Bill's. @Davide- please advise who in IWP will be responsible for ours. @Bill- please cc me on your email with the onboarding team so I can update the status on our tracker. Thank you {https://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gif} Nina Tona Deutsche Bank Wealth Management Institutional Wealth Partners — Business Manager Americas EFTA01408543 Deutsche Bank (Americas) Ltd. 5022 Gate Parkway, Jacksonville FL 32256 Tel: + deutschewealth.com #Positive Impact IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. From: Ian Salters EFTA01408544 Sent: Monday, February 25, 2019 4:00 PM To: Brian Serino ; Kareen Johnson Cc: Bill King ; Davide-A Sferrazza ; Nina Tona < >; Ian Salters Subject: KYC remediation [I] Classification: For internal use only Brian/Kareen - As previously discussed, the priority list is less than I thought, please see attached clients that need to be onboarded with CIB as a priority: Bill - can you please take the lead on the ISG clients (this ties into the 32 clients you previously advised of): Nina / Davide — can you please work together on the IWP clients (understand that Southern Financial is going away): A) Wealth Management fcid:image002.png@OlD4CE87.149683F01 B) IWP fcid:image003.png@OlD4CE87.149683F01 Kind regards, Ian Salters EFTA01408545 {https://brandportal.intranet.db.com/img/modules/logogrey.gif} Ian Salters COO Americas - Institutional Wealth Partners DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email Visit us: http://deutschewealth.com {https://brandportal.intranet.db.com/img/modules/positive_impact_ENG.gif} IWP products and services are intended for and available only to sophisticated, experienced investors who qualify as "institutional accounts" under FINRA Rule 4512(c)(3), and are capable of evaluating the investment benefits and risks of, and exercising independent judgment in evaluating and determining whether to enter into, sophisticated trading strategies and financial transactions. Transactions are subject to relevant internal approvals of Deutsche Bank or its affiliates prior to execution, and no transaction, idea or opportunity discussed herein may be executed unless you are a client of Deutsche Bank and of the Institutional Wealth Partners group (IWP). Material herein regarding IWP products, investment ideas and solutions is for discussion purposes only. While brokerage services offered through the IWP Americas desk may include investment recommendations and brokerage advice, IWP does not provide investment management or investment advisory services, and private market opportunities and other products and services available through IWP are offered only on a non-advisory basis. This communication is confidential and personal to you, solely for your information and for discussion purposes only, and does not create any legally binding obligation. Reproduction or distribution of any material herein without our written consent is strictly forbidden. EFTA01408546 EFTA01408547