he Bank's Anti-Financial Crime department escalated issues concerning Mr. Epstein. The first issue arose in connection with the Bank's opening of a Global Markets account for Mr. Epstein. In January 2015, during the onboarding process for that account, an AML Compliance Officer ("AML OFFICER-1") identified rec

her business from, any company mentioned in the material. This material may not be distributed outside the United States; and is intended solely for Global Markets institutional clients. The material is provided for informational purposes only and any distribution or copying of the material is prohibited. EFTA0

her business from, any company mentioned in the material. This material may not be distributed outside the United States; and is intended solely for Global Markets institutional clients. The material is provided for informational purposes only and any distribution or copying of the material is prohibited. This

Darlene Zong Following up on our conversation on Tuesday, I've attached a basket of North American REITs that are rated "buy" by our colleagues in Global Markets. We've highlighted several REITs where they are favorable on the sector and have a buy rating, and have attached the most recent reports on each. Pl

et to see if there is a potential lending opportunity • George Jr, is in Commercial Real Estate and could be a possible candidate for refinancing (Global Markets) and potential SWAP • Stewart Oldfield to follow with George on potential lending and SWAP. Safanad: • Stewart Oldfield to set up a meeting and

n the PE & Hedge Fund public list to see if there are any possible prospects there • Another option that was pitched was covering hedge funds that Global Markets no longer covers and getting introduction to those principles for possible wealth opportunity. Kind regards, Cynthia Rodriguez Cynthia Rodriguez

l 11, 2017 11:38 AM To: Cc: Tazia Smith Subject: Sample Risk Premia Portfolio Hi Ashish and Adam. I have attached the transaction summary of the Global Markets portfolio I mentioned on the call. The portfolio was constructed with an 8% volatility budget and constructed to optimize for 2 key attributes: 1.

07406812 [I] Classification: For internal use only Michael - I'm following up on the below. We will be off-boarding Southern Financial LLC from the Global Markets platform, thus no need to proceed with the KYC request. Let us know if you need anything from our end or have questions. Thank you, CONFIDENTIAL

On Mar 28, 2018, at 6:04 PM, Xavier Avila wrote: Richard, as discussed today, in order for the Southern Financial account in Global Markets can get KYCed and we can extend product adoptions to a couple of other asset classes (credit and equity OTC derivatives), we need you to confirm th

1:25 PM To: Stewart Oldfield Subject: Nes LLC (I) Classification: For iMernal use only Hello Stewart The client Nes LLC is being offboarded from Global Markets. If you want to keep this client from exiting Global Markets, can you please fill out the attached document and provide it back to me as soon as pos

we don't get this request too often. My initial thought is to wait and see if they have any feedback on your email first. Don't want to spin AFS or Global Markets wheels if there isn't anything actionable. Best, Vahe From: Andrew King Sent: Thursday, June 09, 2016 1:56 PM To: Vahe Stepanian Subject: FW: i

et to see if there is a potential lending opportunity • George Jr, is in Commercial Real Estate and could be a possible candidate for refinancing (Global Markets) and potential SWAP • Stewart Oldfield to follow with George on potential lending and SWAP. Satanad: • Stewart Oldfield to set up a meeting and

n the PE & Hedge Fund public list to see if there are any possible prospects there • Another option that was pitched was covering hedge funds that Global Markets no longer covers and getting introduction to those principles for possible wealth opportunity. Kind regards, Cynthia Rodriguez « OLE Object: Pict

et to see if there is a potential lending opportunity • George Jr, is in Commercial Real Estate and could be a possible candidate for refinancing (Global Markets) and potential SWAP • Stewart Oldfield to follow with George on potential lending and SWAP. Satanad: • Stewart Oldfield to set up a meeting and

me know if there are any objections to sending any or all of these along to Christy for Corporate Finance. I am going to work on Robyn's request for Global Markets next...thanks! Kind regards, Laura Kang Laura Kang Deutsche Bank Americas Regulaton, Compliance and Anti-Financial Crime AFC AML Compliance Off

conduct Monthly AML/NCA TALF Borrower File Review Assessments ("File Review') on five (5) randomly selected new client adoptions files affected by Global Markets (GM) to evaluate the adequacy of the AML aspects of the new client adoption process for TALF borrowers. This File Assessment is designed to assess t

ich holds maintains the data for ISDA clients is owned by another group; that database, unfortunately, had misclassified the clients listed below as Global Markets clients when in fact, they're Wealth Management clients. Therefore, if you are receiving this email, you have a client with an active ISDA contract

ials June 2017.pdf; SOFL LLC Documents.pdf Davide-A Sferrazza [clavicle- Richard, as discussed today, in order for the Southern Financial account in Global Markets can get KYCed and we can extend product adoptions to a couple of other asset classes (credit and equity OTC derivatives), we need you to confirm th

• George Jr, is in Commercial Real Estate and could be a possible candidate for refinancing (Global Markets) and potential SWAP • Stewart Oldfield to follow with George on potential lending and SWAP. Safanad: • Stewart Oldfield to set up a meeting and

ivision Chief Financial Officer and President of Global Markets Managing Partner President and Chief Executive