Subject: FW: Market Purit Work Sho [C] From: Oliver Esslinger Date: Mon, 14 May 2018 13:54:38 -0400 To: Armen Brash Julie Cataudella Cc: Kimberly Hart <SS>, zia Memon ‹ > Classification: Confidential Hi Armen/Julie: Before I reach out to Sub GMT heads or similar I thought I'd start with you to review USO population in scope for market purity. As discussed earlier today in our work shop (Armen, I can debrief you offline) please find enclosed universe of "impure" data (249 clients) asking you to review and provide feedback in excel template columns V-X using enclosed legend as reference as guidance. I already cross referenced to previous PCS or other files you shared with only one match. Besides the impurity based on UBO domicile Metric 1 (column T) we also tracked Metric 2 aka RM covering more than 10 jurisdictions in column S with the following outcome highlighting Mary Ann (9 close to threshold put still "pure" ) and Terrence (11). If needed please discuss with Andrew to get some confirmation in terms of target market coverage as well Please contact me for any questions, otherwise kindly try to provide me back with high level feedback by end of this week. Thank you Oliver Legend: Outcome Status Rationale For review Under review with BC Resolution workshop free text Remediation Global Escalation (if required) Accepted impurities Not started Closure In progress Completed No further actions In progress of correcting Exit client Move client EFTA01399044

Oliver Esslinger Director I COO Head of Business Integrity Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA Tel.: +1 (212) 454-0439 Fax: +1 (646) 690-1201 Email: www.deutschewealth.com From: Oliver Esslinger Sent: Monday, May 14, 2018 9:08 AM To: Kimberl Hart a; Sheffali Welch >; Julie Cataudella < >; Janet Morales <a; Andrea DeMar Clemence- Loupil ; zia Memon <a>; Lauryn Hart ; Saleha Bilal a; Brian H Heidelbach < ; Ana-Marie Callangan ; Stephan Wessels < ; Sylvia Junghardt Cc: Carl-von Tippelskirch < Subject: RE: Market Purity Work Shop [C] Classification: Confidential Dear all: Please find enclosed deck for our 10am work shop, hand outs will be provided to those attending in person at 345 Park. Best Oliver Oliver Esslinger Director I COO Head of Business Integrity Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas EFTA01399045

Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA Tel.: +1 (212) 454-0439 Fax: +1 (646) 690-1201 Email: www.deutschewealth.com Original Appointment From: Oliver Esslinger Sent: Monday, May 07, 2018 4:42 PM To: Oliver Esslinger; Kimberly Hart; Sheffali Welch; Julie Cataudella; Janet Morales; Andrea DeMar; Clemence-J Loupil; zia Memon; Lauryn Hart; Saleha Bilal; Brian H Heidelbach; Ana-Marie Callangan; Stephan Wessels; Sylvia Junghardt Cc: Carl-von Tippelskirch Subject: Market Purity Work Shop When: Monday, May 14, 2018 10:00 AM-11:00 AM (UTC-05:00) Eastern Time (US & Canada). Where: 345 Park Avenue, conf room 2404, conf call dial in US: 877 329 6902 ; int'l: +1 (647) 252 8995, code: 24540439# EFTA01399046