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ce President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Thursday, November 02, 2017 10:20 AM To: Cc: Armen Brash >; Nicholas Allen Subject: RE: MIFID II & research -
ties offered through Deutsche Bank Securities Inc. From: Anna-Sofiya Lupolover Sent: Thursday, November 02, 2017 10:20 AM To: Cc: Armen Brash >; Nicholas Allen Subject: RE: MIFID II & research - access to portal for clients (II Classification: For IMemal use only Hello, >; Sheffali Welch If you have not
Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Sheffali Welch Sent: Tuesday, October 31, 2017 8:31 AM To: '[email protected] <1 p Cc: Anna-Sofiya Lupolover >; Ar
ffali Welch Sent: Tuesday, October 31, 2017 8:31 AM To: '[email protected] <1 p Cc: Anna-Sofiya Lupolover >; Armen Brash Nicholas Allen Subject: FW: MIFID II & research - access to portal for clients il) Classification: For internal use only All, DB Research is changing its approa
utsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel Fax Email Securities offered through Deutsche Bank Securities Inc. From: Sheffali Welch Sent: Tuesday, October 31, 2017 8:31 AM To: Cc: Anna-Sofiya Lupolover ellIfifillfiffilinela Armen Brash Subject: FW: MIFID
ellIfifillfiffilinela Armen Brash Subject: FW: MIFID II & research - access to portal for clients (I) Classification: For Internal use only All, Nicholas Allen DB Research is changing its approach to distributing Research with the launch of their new Research portal in November and MIFID II go-live in Janu
ke.t.VZ91; • Id ?0,'2017 . 7/7/1027 • 7/1412017 • 7721.'-`017 • V28:2;717 • ;76/2011 ▪ V11•2017 • teiltAll? Rodrigo Quintero Vice President Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400, 32256 Jacksonville, USA Tel. Ema From: Rodrigo Quintero Sent: Friday, August 11, 2
en Cohen < Subject: KYC HR Clients Remediation - Status (8/11/17) [I] >; Armen ; Janice Franklin >; Sheffali Welch < >; Sven-Otto Westphalen >; Nicholas Allen < a Classification: For Internal use only All. Below is the Monday morning deliverable (as of 8/11/17). Let me know if you have any question. Su
on Progress s ;A; MtoreE straimed to Ac t,ld SucrnstW w f, on.r.`ece00; Regards, Rodrigo Rodrigo Quintero Vice President 202 4.22 102 Pi Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 502 uite 400, 32256 Jacksonville, USA Tel. Ernai From: Rodrigo Quintero Sent: Monday, August 21, 2017 9:09 AM
le.t2M7 ▪ 7:21/2017 • 7/2S/2017 • 814a017 .1111.12017 • ITZI/2417 kaptenr ; Janice Franklin >; Sheffali Welch < >; Sven-Otto Westphalen >; Nicholas Allen < a Classification: For Infernal use only All, Below is the Monday morning deliverable (as of 8/21/17). Let me know if you have any question. Su
HR Client Remediation Prowess Storared to Pori Cric•00) Regards, Rodrigo II Rodrigo Quintero Vice President -n Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 256 Jacksonville. USA From: Rodrigo Quintero Sent: Saturday, September 02, 2017 5:19 PM To: Patrick Harris Cc:
a ivan ; Karen o en Subject: KYC HR Clients Remediation - Status (9/01/17) [II Classification: For Internal use only All, Sven-Otto Westphale ; Nicholas Allen ; Adrienne Bull Below is the Monday morning deliverable (as of 9/01/17). Let me know if you have any question. Summary Andrew CONFIDENTIAL - PUR
Entities connected to both Deutsche Bank Securities Inc. and Nicholas Allen

Prince Andrew
PERSONDaphne Cales
PERSON
Jacksonville
LOCATIONJanice Franklin
PERSONAnna-Sofiya Lupolover
PERSONArmen Brash
PERSON
Rodrigo Quintero
PERSONEmily Craig
PERSONSheffali Welch
PERSON
Woody Allen
PERSONVaishali Mehta
PERSON
Rodrigo
PERSONPatrick Harris
PERSON
Michael Cohen
PERSONFelipe Godard
PERSONKaren Cohen
PERSONJanet Morales
PERSONSven-Otto Westphalen
PERSONResearch portal
ORGANIZATION