4
Shared Docs
4
Same-Page
5 / 4
Mentions
ns 7 (Slide 8) 8 (Slide 10) Complex Structures Cross Border Training 13 3 Miami, 3 NY, 3 Geneva, 2 Chicago, 1 LA, 1 San Francisco 1547 235 LatAm; 1312 USO 235 accounts High 138, Moderate 56, Low 41 140 accounts High 61, Moderate 43, Low 36 51 exceptions Approved 47; Overdue 1; Upcoming 1 (
llenges • First view on the LatAm market • First view on DB WM LatAm's clients Interview round with experts from coverage and products DB WM LatAm Factbook • Agree focus clients, products, & markets • Review positioning vs. future focus areas and identify growth / de-emphasis areas Formu
; Overdue 1; Upcoming 1 (No Permanent Exceptions) 2 new clients Navarro — Accepted reviewed Patronato Benefico Oriental of the US - Rejected 2 Aromatiss and Long Term Insured Credit Fund 4 trainings Connect2Learn: 3 online trainings; 1 training delivered remotely Confidential 2 EFTA01394819 Re
F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, 0 Yes 2 No provide details below and contact Quality Mgt. (LatAm/Int7) or the Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association /
er (>=25%) Non-PIC entity (Indicate ownership %) Other (please describe other roles and/or ndicate relationship between parties) 1 2 71 Aromatiss S.A.S 0 • • K • K 0 2 • K Veronica Maria Silva Luna 0 • • K n K 0 3 0❑ Lama Jesus Hanke Armando i: 0 0 0 n K 0 4 K J Juan F
1 (Slide 3) RM: 2018 new hires 13 3 Miami, 3 NY, 3 Geneva, 2 Chicago, 1 LA, 1 San Francisco 2 (Slide 4) New Clients / New Accounts 1547 235 LatAm; 1312 USO 3 (Slide 5) Latin America Statistics 235 accounts High 138, Moderate 56, Low 41 4 (Slide 6) Miami Statistics 140 accounts High
Forum Escalations 2 new clients reviewed Navarro — Accepted Patronato Benefico Oriental of the US - Rejected 7 (Slide 8) Complex Structures 2 Aromatiss and Long Term Insured Credit Fund 8 (Slide 10) Cross Border Training 4 trainings Connect2Learn: 3 online trainings; 1 training delivered remotel
the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G Does the client or related party have any financial or other associat
(If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 44 2 44 Account Name / Number Aromatiss S.A.S - Aromatiss S.A.S. - EFTA01399304 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or
Entities connected to both LatAm and Aromatiss
Martindale-Hubbell
ORGANIZATIONLawyers/Law Firms
ORGANIZATION
Eric Holder
PERSONLexis/Nexis
ORGANIZATION
U.S. Virgin Islands
LOCATION
Paul Volcker
PERSONQuality Mgt
ORGANIZATIONTrustee/Co-Trustee
ORGANIZATION
Columbia University
LOCATIONDeutsche Bank Americas New York
ORGANIZATIONI. Corporate Documentation Attached
ORGANIZATIONOliver Esslinger
PERSON
Alfredo Rodriguez
PERSONJosie Alonso
PERSONPrimary Country
ORGANIZATION
Prince Charles
PERSON
Medellin
PERSON
Geneva
LOCATION
Panama
LOCATIONJuan Fernando
PERSON