Deutsche Asset & Wealth Management
ORGANIZATIONThe AWM Internal Review and Approval Process
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ective in disapplying any local regulations in respect of private client investor protection. The AWM Internal Review and Approval Process 1 2 3 Deutsche Asset AWM Risk Assessment Diligence An AWM risk assessment is undertaken by Private Markets (see next slide) ■ Solely conducted for AWM's own use a F
atory regimes; and the "big-boy' letter is legally effective in disapplying any local regulations in respect of private client investor protection. The AWM Internal Review and Approval Process 1 2 3 Deutsche Asset AWM Risk Assessment Diligence An AWM risk assessment is undertaken by Private Markets (see next slide) ■ Solely conducte
ective in disapplying any local regulations in respect of private client investor protection. The AWM Internal Review and Approval Process 1 2 3 Deutsche Asset AWM Risk Assessment Diligence An AWM risk assessment is undertaken by Private Markets (see next slide) ■ Solely conducted for AWM's own use a F
atory regimes; and the "big-boy' letter is legally effective in disapplying any local regulations in respect of private client investor protection. The AWM Internal Review and Approval Process 1 2 3 Deutsche Asset AWM Risk Assessment Diligence An AWM risk assessment is undertaken by Private Markets (see next slide) ■ Solely conducte
that they have the adequate resources, expertise and experience to make their assessment of the investment and take their own investment decisions. Deutsche Asset ▪ Ma - f.:,;" 7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0121918 CONFIDENTIAL SDNY_GM_00268102 EFTA01460569
linking KCP clients is a key part of enhancing AWM's KCP offering and network. AWM New Proposed Framework Vis-a-vis KCP Clients • As on Slide 5. The AWM Internal Review and Approval Process • The standard process for CFP deals is not applicable in these cases. KCP Client Exemption List Suitability & Appropnate ness Committee Only
Exco members and final approval to be given by this committee Proposed Members: Stephane Farouze, Pierre Cherki, Yves Dermaux and Dario Schiraldi. Deutsche Asset 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0121919 CONFIDENTIAL SDNY_GM_00268103 EFTA01460570
clients ■ Transfer to NCOU implies assets are 'non-performing' or "bad" assets AWM New Proposed Framework Vis-a-vis KCP Clients ■ As on Slide 5. The AWM Internal Review and Approval Process Internal Risk Disclosure Review KCP Client Exemption List St/dab:My Z. Appropriate ness Committee NCOU AWM Exco 0 or ninmee Ili Full d
Entities connected to both Deutsche Asset & Wealth Management and The AWM Internal Review and Approval Process