RE: Remediation 2015-2016_ ACO queries.xlsx [I]

Hi Chris,

As requested please find attached the names and below the statuses to be investigated:

Internal entities — These accounts require remediation AND an ACO to sign off the remediation.

o Can we off-board these?

o If not, please provide an the ACO or get confirmation from AFC/ COB these account don't require ACO attestation

Data Issues — idem

CIB Claimed — These have been deemed off-boards unless you can find an ACO or say otherwise

Thanks.
Kind regards,
I.

Hi Vahe

Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO?

Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients without an ACO should be moved to the red list for offboarding.

Thanks

Chris

Thanks Vahe. Can you please confirm the below Aspen L4 is what you are referring to?

• Ll Client

  • Ll Client ID

  • Ll Client RDS ID

  • L4 Client

  • L4 Client ID

  • L4 Client RDS ID

Southern Financial Group INC,US
█████████

Southern Financial Group INC, US

EFTA01418652

I look forward to hearing from you.

Kind regards,
Isabel.

Isabel Gonzalez

ICG Sales COO Team

Deutsche Bank AG, Filiale London

Winchester House, 1 Great Winchester Street Tel: I EC2N 2DB London

Southern Financial LLC is the DB car name, but the only aspen name we have that looks similar is the below L4. Can you please advise? Is it the same entity? Can we off-board this?

I look forward to hearing from you.

Kind regards,
Isabel.

Isabel Gonzalez

ICG Sales COO Team

Deutsche Bank AG, Filiale London

Winchester House, 1 Great Winchester Street

Tel: I EC2N 2DB London

Hi Isabel

The first 3 below were not part of the debt trading outreach. Do you recall how you were made aware that trading wishes to keep?

The person in the bottom one doesn't exist in the directory so I'll need to ask around in the even they've left.

LEGAL NAME

GM Sales Sponsor for Outreach

• GM Sales Sponsor for Outreach
• William Beaumont Hospital
• Proven Wealth Limited
• Adrienne Coyle
• Southern Financial, LLC
• Vahe Stepanian
• Tradition SEF, Inc.
• Olivier Pariente - TCG

EFTA01418658

Thanks

Chris

Hi Chris,

I have done a bit of digging on this. As per below table, two of this names were indeed included in the Phase I of the Trading Outreach. The other 2 may have happen offline via Iain. Please see below the details I have been able to extract:

Trading Outreach Output

CLIENTID

LEGAL NAME

GM Sales Sponsor for Outreach

In trading outreach Phase i

ACO suggested

Sales suggested

Person Making Suggestions

William Beaumont Hospital

anthony.campo@db.com

EFTA01418655

Proven Wealth Limited

Adrienne Coyle

yes

Alex Giannou

Adrienne Coyle

Bruce Harkness, EM

Southern Financial, LLC

Vahe Stepanian

Tradition SEF, Inc.

Olivier Pariente - TCG

Yes

Olivier Pariente - TCG

Matt Barnett (TCG)

EFTA01418656

Matt Barnett (TCG)

My suggestions are:

. #1 - reach out to Anthony. He is very responsive
. #2 – reach out to AC0, and Bruce.
. #3 – reach out to Vahe
. #4 – reach out to Matt.

Thanks.

Kind regards,
Isabel.

Isabel Gonzalez

ICG Sales COO Team

Deutsche Bank AG, Filiale London

Winchester House, 1 Great Winchester Street Tel I EC2N 2DB London

Hi Chris — we are actually offboarding Southern Financial in GM. Let us know if you need anything else.

Best,

Vahe

Thanks Vahe, ok noted.

Iain - FYI.

I was referring to Southern Financial LLC