Deutsche Bank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Email From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:15 PM To: Funda Bozkurt Cc: Paolo De-Leon Subject: FW: New Derivatives account. [I] Importance: High Classification: For internal use only Hi Funda, Do you know who owns or maintains KYC documentation (for WM accounts)? Thanks. Regards, Keith From: Keith Buckholz Sent: Friday, December To: Srikanta Gouda Cc: Nitin-X Sin 'h Sendhil-kumar K Enid Ellis ; Debra Jasper < ; Halina Laczny ; CRM-PWM Derivatives ; Collateral-Assets Newyork 08, 2017 11:38 AM SurendraSin t ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO 'FX Middle Office' <fx- ; Roxanne Scott ; Hiren Mathur Subject: RE: New Derivatives account. [I] EFTA01398439

Importance: High Classification: For internal use only Hi Srikanta, Is there an escalation point for this issue? Going forward BRM will not be providing KYC documentation to have collateral accounts set up. Thanks. Regards, Keith Keith Buckholz, CAIA Director I Credit Risk Officer Deutsche Bank Wealth Management Business aligned Risk Management 345 Park Avenue, MS NYC20-1406 New York, NY 10154 Tel: Mobile: From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda ; Collateral Admin-NY ; S i clraSir l curen EFTA01398440

Cc: Nitin-X Sin .h Sendhil-kumar Enid Ellis ; Debra Jasper < ; Halina Laczny CRM-PWM Derivatives ; Collateral-Assets Newyork > Subject: RE: New Derivatives account. [I] Srikanta, ; Collateral Admin-NY CUSTOMERBUILD BLO ; FX Middle Office <fx- ; Roxanne Scott ; Hiren Mathur I was asking if you knew someone (an actual person) who has provided your team with these docs in previous requests. I'll reach to that person for the documents your team requires. Thanks. Keith Sent with BlackBerry Work (www.blackberry.com) From: Srikanta Gouda ‹ > Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h , Keith Buckholz , Collateral Admin-NY Cc: Nitin-X Sin Sendhil-kumar , Debra Jasper , Halina Laczny , CRM-PWM Derivatives , Collateral Admin-NY , CUSTOMERBUILD BLO , FX Middle Office <fx- , Roxanne Scott Hiren Mathur EFTA01398441

Enid Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only As mentioned earlier... "Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client" Yes.. but not sure, whom do Requester or CRM reach out to get these documents. Thanks Kind regards, Srikanta Gouda {cid:[email protected]} Srikanta Gouda Process Supervisor DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email From: Surendra Singh Sent: Tuesday, November 21, To: Keith Buckholz Cc: Nitin-X Sin oh 2017 12:06 AM ; Srikanta Gouda Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO EFTA01398442

Sendhil-kumar K Office CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Debra Jasper Haling Laczny ; Hiren Mathur Classification: For internal use only Srikanta, Please advise Keith on below mail. Kind regards, Surendra Singh ; FX Middle Office <fx- ; Roxanne Scott FX Middle {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz EFTA01398443

Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh Cc: Nitin-X Singh Sendhil-kumar K ; Srikanta Gouda ; Collateral Admin-NY Collateral Admin-NY ; CUSTOMERBUILD BLO <I >; ; FX Middle Office <fx- ; Roxanne Scott FX Middle >; Debra Jasper Halina Laczny Office • >; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surenda, We do need this set up. I am trying to track down these documents, not sure who has them. When the dummy account is set up in LS2, who normally provides these docs? Thanks. Regards, Keith From: Surendra Singh Sent: Monday, November 20, 2017 1:09 PM To: Srikanta Gouda Cc: Nitin-X Singh Sendhil-kumar K ; Debra Jasper < ; Halina Laczny Office < ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis <I >; Collateral-Assets Newyork ; Keith Buckholz ; Collateral Admin-NY <I M> ; Collateral Admin-NY ; CUSTOMERBUILD BLO < =.; FX Middle Office <fx- ›; Roxanne Scott ; FX Middle EFTA01398444

Subject: RE: New Derivatives account. [I] Classification: For internal use only Hello Keith, Please confirm if below request was completed or it is not needed to be set up anymore. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Singh ; Keith Buckholz Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO EFTA01398445

Sendhil-kumar K Office CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Debra Jasper Halina Laczny ; Hiren Mathur Classification: For internal use only Hi Keith, ; FX Middle Office <fx- ; Roxanne Scott FX Middle Generally we do not required the below information in order to setting up a New DDR account.( If the Client is already On boarded to LS2 ). However in this case, We do not see the client is onboard to LS2, in order to onboard the client, Customerbuild team would require the below information. Once the client is onboard, we will go head and create the collateral account. Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client. Please feel free to reach out to me if you have any question. Kind regards, Srikanta Gouda {cid:[email protected]} Srikanta Gouda Process Supervisor DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email EFTA01398446