From: Rich larossi Sent: 4/6/2016 To: Armen Brash ; Ch Daphne Cales ; Lina M Arias • Lee Nutter ; zia Memon I; Vaishali-P Mehta CC: Andrew Gallivan [Slk Patrick Harris Subject: Monthly Annual Client Update Reports - April 2016 ill Attachments: ACUs-

P Mehta Sent: Wednesday, May 25, 2016 4:30 PM To: Armen Brash; Una M Arias; Sylvia Junghardt; Daphne Cats; Scott Guest; Dawn Forbes; Amy Horak Cc: zia Memon Subject: MDs Approvals required for ACUs completed for High Risk clients. [I] Classification: For Internal use only Hello All, As you know, the B

, May 14, 2018 9:08 AM To: Kimberly Hart < ; Sheffali Welc >; Julie Cataudella Janet Morales t; Andrea DeMar Clemence-J Loupil < ' " ' " I zia Memon < >; Lauryn Hart Saleha Bilal S; Brian H Heidelbach >; Ana- Marie Callangan »; Stephan Wessels Sylvia Junghardt Cc: Carl-von Tippelskirch Subj

_Jonathan Groom.xlsx; ATT00009.htm Begin forwarded message: From: Jo-Anne Santos Date: December 6, 2018 at 09:20:10 EST To: Jonathan Groom Cc: zia Memon , Brian H Heidelbach >, Emily Craig Oliver Esslinger < Subject: RE: FIM Relationships and FIMs - KYC Tracker [I] ._c . Hi Jonathan, please see a

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

I Head of Investment Solutions Group Wealth Management Americas DB Securities Inc. 345 P rk Av n 1 154-0004 New York, NY, USA Tel Email From: zia Memon Sent: Wednesday, October 10, 2018 7:10 AM To: Coley Jellinghaus < Cc: Diana Canter < >; Kimberly Hart < Subject: Re: Butterfly brokerage [CI Co

ecurities offered through Deutsche Bank Securities Inc. From: Coley Jellinghaus Sent: Thursday, October 11, 2018 10:35 AM To: Kimberly Hart < Cc: zia Memon < >; Diana Canter < >; Zbynek Kozelsky < Subject: RE: Butterfly brokerage [Cl [I] >; Funda Bozkurt Classification: For internal use only Ok tha

I Head of Investment Solutions Group Wealth Management Americas DB Securities Inc. 345 Park Avenue 10154-0004 New York, NY, USA Tel. Email From: zia Memon Sent: Thursday, September 27, 2018 11:39 AM To: Coley Jellinghaus < Cc: Diana Canter < Subject: RE: Butterfly brokerage Coley, > I haven't for

From: zia Memon Sent: 10/12/2018 9* To: Kimberly Ha CC: Subject: Martin Zeman RE: Butterfly Trust [CI Ian Salters nek Kozelsky • Liam Osullivan Stewart O

Sent: 6/14/2016 5:59:18 PM To: Terri Sohrab Subject: FW: Approval Needed - List of Preferreds Ill Classification: For internal use only From: zia Memon Sent: Tuesday, June 14, 2016 5:56 PM To: Todd Stevens; Stewart Oldfield; Zbynek Kozelsky; Andrew King; Joseph Dursi Subject: RE: Approval Needed -

Tuesday, June 14, 2016 5:59 PM To: Tern Sohrab Subject: FW: Approval Needed - List of Preferreds [I] Classification: For Internal use only From: zia Memon Sent: Tuesday, June 14, 2016 5:56 PM To: Todd Stevens; Stewart Oldfield; Zbynek Kozelsky; Andrew King; Joseph Dursi Subject: RE: Approval Needed -

g Director I Head of Investment Solutions Group Wealth Management Americas DB Securities Inc. 345 Park Avenue. 10154-0004 New York. NY, USA From: zia Memon Sent: Thursday, September 27, 2018 11:39 AM To: Coley Jellinghaus Cc: Diana Canter Subject: RE: Butte' Coley, I haven't forgotten this one. I n

ly and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: zia Memon Sent: Friday, October 12, 2018 9:55 AM To: Kimberly Ha Zbynek Kozelsky Cc: Martin Zeman Liam Osullivan Subject: RE: Butterfly Trust (CI III Ia

m: Zbynek Kozelsky Sent: Monday, September 17, 2018 1:03 PM To: Zbynek Kozelsky; Stephanie Busloff; Joe Hamilton; Liam Osullivan; Stewart Oldfield; zia Memon; Martin Zeman; Ian Salters Subject: Butterfly Trust (J. Epstein Grantor) - KCP eligibility discussion When: Thursday, September 20, 2018 1:00 PM-1

'[email protected]'< Cc: Janice Franklin >; Dawn Forbes ; Kshitij Golani ; Diana Canter ; Oliver Esslinger ; Olivier Wayne Salit < M= ; zia Memon Poncet <MM >; Barry H Morris Yoonsun Chung ; Prashant Mahendru Hilaire Subject: Important Update New Regulation: FinCen CDD Rule Procedures [I]

ion FW_ Epstein - Butterfly Trust C 1.61 MB).msg -• participant host 9/20/2018 1:00:00 PM 9/20/2018 1:30:00 PM Tentative Recurrence: (none) zia Memon Liam Osullivan ; Martin CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0093046 CONFIDENTIAL SDNY_GM_00239230 EFTA01388974

e Burrows Daphne Cales Diana Canter a>, Janice Franklin >, Lina M Arias , Mary C Keavene Lee Flutter Michael S Jacoby e>, Sarita Medina a, zia Memon as, Mikal Ison ca, David-K Ng <a Vaishali-P Mehta=>, Andrew Bolender Cc: Andrew Gallivan a>, Patrick Harris alMIMIMIl ts Classification: For i

From: Kimberly Hart Sent: Monday, October 15, 2018 10:13 AM To: Oliver Ess Emily Craig <=I III >; Melisa Venegas ; Jonathan Groom < ; Cc: zia Memon Subject: Re: FIM Relationships and FIMs - KYC Tracker [I] I was not aware that you were looking for feedback. There are customer owners assigned t

ification: Confidential Also sharing your original with Kim From: Melanie Keefe Sent: Friday, January 04, 2019 12:33 PM To: Oliver Esslin er Cc: zia Memon Subject: New Business Initiatives Audit deck [C] Classification: Confidential Good afternoon, Oliver — Please find attached the deck that we have

ehta Sent: Wednesday, May 25, 2016 4:30 PM To: Armen Brash; Lina M Arias; Sylvia Junghardt; Daphne Cales; Scott Guest; Dawn Forbes; Amy Horak Cc: zia Memon Subject: MDs Approvals required for ACUs completed for High Risk clients. [I] Classification: For internal use only Hello All, As you know, the B