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

I

To

Christopher Whyton

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.

EFTA01418829

C

To

Vahe Stepanian

Cc

Isabel-A Gonzalez

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

EFTA01418824

Chris

I

To

Vahe Stepanian

Cc

Stewart OldfieldAlastair Mackinlaylain MacaraChristopher Whyton

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
█████████

EFTA01418822

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

I

To

Vahe Stepanian

Cc

Stewart OldfieldAlastair Mackinlaylain MacaraChristopher Whyton

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

V

To

Isabel-A Gonzalez

Cc

Stewart OldfieldAlastair Mackinlaylain MacaraChristopher WhytonNina Tona

Classification: For internal use only

Isabel — I'm not sure because I don't have access to Aspen given I sit in Wealth Management.

Adding Alastair and Nina here who work with my team's COO — hopefully they can help.

Thank you,

EFTA01418820

Vahe

C

To

Isabel-A Gonzalez

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

William Beaumont Hospital

Proven Wealth Limited

Adrienne Coyle

Southern Financial, LLC

Vahe Stepanian

EFTA01418828

Tradition SEF, Inc.
Olivier Pariente - TCG

Thanks

Chris

I

To

Christopher Whyton

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

EFTA01418825

William Beaumont Hospital

anthony.campo@db.com

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

EFTA01418826

Olivier Pariente - TCG

Matt Barnett (TCG)

Matt Barnett (TCG)

My suggestions are:

#1 - reach out to Anthony. He is very responsive

#2 — reach out to ACO, 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

EFTA01418827

I

To

Named recipient (redacted)

Cc

5 named recipients (several addresses redacted)

Chris, can you please do that? I am snowed under.

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

V

To

Christopher Whyton

Cc

Isabel-A GonzalezStewart OldfieldAlastair Mackinlay

Classification: For internal use only

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

Best,

Vahe

C

To

Vahe Stepanian

Cc

Isabel-A GonzalezStewart OldfieldAlastair Mackinlaylain Macara

Thanks Vahe, ok noted.

Iain - FYI.

EFTA01418823

V

To

Isabel-A Gonzalez

Cc

Stewart OldfieldAlastair Mackinlaylain MacaraChristopher Whyton

Classification: For internal use only

I was referring to Southern Financial LLC

A

To

Vahe StepanianIsabel-A Gonzalez

Cc

Stewart Oldfieldlain MacaraChristopher WhytonNina Tona

Classification: For internal use only

EFTA01418819

I also don't have access to Aspen but believe the entity in aspen is actually PWM US Southern Financial LLC,US.

Isabel - Are you able to check with the sales reporting team to get more details on Southern Financial Group INC,US. Who set this up, previous trades etc?

Thanks

Alastair Mackinlay

Key Client Partners - Americas

Deutsche Bank Wealth Management

345 Park Avenue, 26th Floor

New York, NY 10154