Subject: RE: Butterfly brokers e [I] From: Diana Canter Date: Tue, 25 Sep 2018 15:20:23 -0400 To: Funda Bozkurt zia Memon Cc: Kimberly Hart Please give me some examples Kind regards, Diana Canter Ottps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Funda Bozkurt Sent: Tuesday, September 25, 2018 3:18 PM To: Diana Canter ; zia Memon e > Cc: Kimberly Hart Subject: RE: Butterfly brokerage [I] Classification: For internal use only + Kim as well. EFTA01399254

KCP clients cannot open accounts unless they have adoption documentation. These adoption forms have to be on file, either in their shared drive or saved on Pershing if Pershing is the only account they have open. What is the process for coding? Can we request these docs to be coded please? Again, there are so many KCP brokerage clients without the adoption package. How did Ziggy approve them? And to clarify further, these are not only Josh's accounts. Tazia and Billy O. also have a bunch. In this particular case, do we know if the client ( or the beneficial owners) had the documentation on file since the client already has an existing relationship? Thanks, Funda Bozkurt Deutsche Bank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Email From: Diana Canter Sent: Tuesday, September 25, 2018 3:00 PM To: Funda Bozkurt zia Memon Subject: RE: Butterfly brokerage [I] One of the problems is that the document is not bar coded and we are not able to track it as missing but we should have it hand before we approve the account to be opened. What brokerage accounts don't you see documents for??? EFTA01399255