Fw: GBSA [I]

Classification: For Internal Use Only

Please let me know what I need to do. Thanks

Stewart Oldfield, CFA, CAIA
Director

Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
345 Park Avenue, New York, NY 10154
Tel:
Mobile: blackberry
Email:

Securities offered through Deutsche Bank Securities Inc.

From: Michele Hurley
Sent: Monday, June 26, 2017 09:02 PM
To: Stewart Oldfield
Subject: FW: GBSA [I]

Classification: For internal use only

Hi:

As mentioned in the below email, attached please find your Customer List along with the GBSA attestation.

Please review the spreadsheet again, noting any additional determinations that have been made in the last 1.5 weeks and then complete the attestation and return to Tanya Johnson-Coomes by close of business Tuesday, 6/27. As previously communicated, for any customers that were determined to be AIFs or for which a determination could not be made, overdrafts will not be permitted until such time as we are able to make a determination. This applies to all customers where the Exempt Yes / No column says anything other than "Yes".

EFTA01421735

Many of you have already provided confirmation already in email form. All confirmations that were provided were noted in the far right column of the Customer List.

Michèle Hurley
Tel.
Fax
Email

From: Charles Hoffarth Sent: Monday, June 26, 2017 9:19 PM

This image is an email communication. The sender is Charles Hoffarth, sent on Monday, June 26, 2017, at 9:19 PM. The recipient is Abraham Telechanski. The email body appears to be a list of names, possibly recipients of the email or individuals associated with the sender's communication.

The list of names is:
Andrea Nicoletti
Armando Estua-
Belaunzaran
Anh H Parisi
Bernadette Schmidinger-Brown
Billy Obregon
Brandi Goldenberg
Brenda Guerrier
Brian P Convey
Brian J
Harrington
Carlos Luna
Carolyn Magliaro
Carsten Wellemsen
Catherine M Oconnor
Christopher Quartararo
Chuck Walker
Gray
Dan Peterson
Daphne Cales
Dan
Daniel Kay
Debjani Bagchi
Derek Javarone
Dessy
Arteaga
Diane Minarczyk
Douglas Robertson
Ed Lok
Edie
Murphy
Eduardo Pieta
Edward
Golden
Eva Pace
Foster J McCoy
Gabriel Micheletti
Gina Manzino
Heather Kirby
Hildegarde Berrios
Hsiao-li Chou
Israel Velasquez
Jake Block
James Donofrio
Janet A McGrath
Jensen
Janice M Smith
Joanne
John Marson
Joseph
Cothron
Joseph Sabbagh
Joseph Stafford
Joshua Frank
Joshua Shoshan
Josie Alonso
Katherine O-Connor
Leanna Rivera
Lee Hutter
Lindsy
Sanders
Malcolm Kimble
Mark Gonzalez
Mark LaRoe
Mark R
Westhoff
Mary C Keaveney
Mauricio Pretelt
Michael King

EFTA01421736

The image contains a list of names, likely representing individuals involved in a review process for the "GBSA" subject. The context provided suggests this is related to a regulation going into effect on July 1st and requires attestations by Tuesday, June 27th.

Here are the key entities identified:

• Subject: GBSA
• Key Dates: July 1st (regulation effective), June 27th (attestation deadline)
• Individuals (Partial List):
  • Michael Lantz
  • Michael S Jacoby
  • M Quattrocchi
  • Michelle Pecorino
  • Nora Heaton
  • Oti Roberts
  • Paul Bartilucci
  • Paul E Betts
  • Rachel Maglicic
  • Robert
  • Harper
  • Roberto Mendoza
  • Ron
  • Colonna
  • Rosemary Vrablic
  • Russell Daulton
  • Ryan Barclay
  • Salvatore Moore
  • Sean Jules
  • Sean Magee
  • Sequana Beale
  • Shahin Ahdieh
  • Stephan
  • Wessels
  • Stephen-M Johnson
  • Stewart Oldfield
  • Susan Moffat
  • Susan Rodriguez
  • Suzy Cozzi
  • Tazia Smith
  • Terrence F Tangney
  • Terri Sohrab
  • Theresa
  • Romano
  • Thomas-B Mayer
  • Timothy MacGuire
  • Timothy Donahoe
  • Trevor Spinney
  • Vincent
  • Commisso
  • Xavier Santos
  • Sylvia Junghardt
  • Janet Sible
  • Karina Bustamante
  • Patrick Campion
  • Patrick Harris
  • Sheffali Welch
  • Andrew
  • Gallivan
  • Kimberly Hart
  • Julie Cataudella
  • Michele Hurley
  • Michael Mullin
  • Michele-

The format of the names suggests a sender/owner to recipient structure, with some individuals listed with names and others appearing to be identifiers or group names.

Thanks go out to all of you for the time and attention you've given to the GBSA review effort. As you know, the regulation goes into effect on July 1st. As a documentation requirement, we need you to confirm in writing that you agree, to the best of your knowledge, that the determination for the customers for which you are the owner are correct. In order to meet the tight deadline for system updates, we require that you return the completed attestation by close of business Tuesday, 6/27. Hopefully this will not be too burdensome since you have already reviewed and confirmed most of the determinations for your customers.

Michele Hurley will once again be forwarding your lists with the attestation document.

EFTA01421737

I thank you in advance for your prompt attention to this request.

Charlie

EFTA01421738