From: Stewart Oldfield I Sent: 9/5/2018 6:03: To: Vijay-A Sawant CC: Richard larossi j; Mayur Rathod ); Bradley Gillin I Subject: RE: 2018 Periodic Review of High Risked Accounts (GCISP489505), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCISA4B7264) under the SOUTHERN FINANCIAL RELATIONSHIP [I) Thanks. Just submitted these. Do you know who is approving on behalf of Andrew Gallivan while he's out? From: Vijay-A Sawant Sent: Wednesday, September 05, 2018 9:34 AM To: Stewart Oldfield can> Cc: Richard larossi Mayur Rathod < >; Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Account il (GCIS#489505), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [II Importance: High Many thanks Stewart!! Just wanted to remind you that KYC Case#01977700 also requires your review and submission to AML as per attached email. This case has 2 other accounts, so we will have 5 high risked accounts submitted today. Kind Regards, Vijay Sawant KYC Case Representative Deutsche CIS Centre Private limited - Deutsche Bank Group Wealth Management Ell, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai -400063, India Tel. Mo kiln From: Stewart Oldfield Sent: Wednesday, September 05, 2018 6:45 PM To: Vijay-A Sawant Cc: Richard larossi >; Mayur Rathod Bradley Gillin Subject: Re: 2018 Periodic Review of High Risked Accounts It GCIS#489505), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [II Thanks. Will submit this afternoon. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0092535 CONFIDENTIAL SDNY_GM_00238719 EFTA01388782