RE: Next steps: Napa Conference (IJ

Classification: For Internal use only

You nominated:

See compliance pre-approval details below. If you have any questions, please let me know. Please keep me apprised of clients that express interest in attending. Thanks.

Compliance:

This is a high-priced event and requires compliance pre-approval. Compliance will ask you to confirm the following criteria:

I. Attendees must only be connected to principals who arc making decisions with respect to their own private wealth:

Attendees must not be family officers or trustees in respect to any funds/investments managed by DB:
Attendees must not be attending on behalf of principals who arc public officials.
The attendees must not be involved in pending business decisions with DB (sec below for further details): Pending Business - Clients: Pending business at time of invite is NOT OK (specific discussions pertaining to investment type and amount have occurred, and decision or action is pending with client). Clients: Prospective business is OK (general relationship building, positioning DB capabilities, new investment vehicles etc.) Prospects:

Prospective business is OK (general relationships building. positioning DB capabilities) Prospects: Pending business/specific pitches at time of invite is NOT OK (discussion on moving assets from bank x to DB).

Parent ID — 3MAC

Cost per person if 1 person per hotel mom - $3,771.99 and if couple cost pp is $3,056.61

CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL

DB-SDNY-0092094
SDNY_GM_00238278
EFTA01388510

Sarah Rafferty

Thanks. When will you have the names for nextgen?