Subject: FW: KYC List [ From: Andrew Gallivan < Date: Fri, 09 Jun 2017 15:41:43 -0400 To: Samantha Harmon Classification: For internal use only From: Daphne Cales Sent: Friday, June 09, 2017 2:04 PM To: Andrew Gallivan Subject: RE: KYC List [I] Classification: For internal use only This was what the email said: Good morning. Per the new global KYC policy a remediation project has been initiated to update KYCs for all clients identified as "High and Moderate" risk, and will eventually include "Low" risk as well. Attached you will find a list of your clients that are either due or coming due this year. My team will be assisting with the initial task of confirming that we have the basic information, including IDs, SSN, TINs and launching research requests on the last known parties. Once that is complete we will forward directly to the RCs/ROs for their review. They will need to reach out to the client for any missing information and confirmation that there has not been any material changes. It is imperative that this is done as quickly as possible. If there are any on the list that you have already done or would like to complete yourself due to any sensitive information please let me know. EFTA01398937

Feel free to contact me with any questions or concerns. Kind regards, Daphne Cates {https://brandportal.intranet.db.com/img/modules/logo.gif} Daphne Cates Director I Banking Services & Branch Manager Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 250-6535 Fax +1 212 454-9719 Mobile +1 Email fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Andrew Gallivan Sent: Friday, June 09, 2017 1:52 PM To: Daphne Cales Subject: RE: KYC List [I] Classification: For internal use only ; Sheffali Welch I should get the list for the NY bankers From: Daphne Cates Sent: Friday, June 09, 2017 1:47 PM To: Andrew Gallivan; Sheffali Welch EFTA01398938

Subject: RE: KYC List [I] Classification: For internal use only Andrew, Would you like the lists for all bankers or just US Onshore? I will send under separate email as Sheffali has them already. I will also send you the email verbiage that was sent to them. Kind regards, Daphne Cales {https://brandportal.intranet.db.com/img/modules/logo.gif} Daphne Cales Director I Banking Services & Branch Manager Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA Tel. +1 212 250-6535 Fax +1 212 454-9719 Mobile +1 Email fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Andrew Gallivan Sent: Friday, June 09, 2017 12:55 PM To: Sheffali Welch < Cc: Daphne Cales Subject: RE: KYC List [I] EFTA01398939