-017/2019 #43 (dbTrack2407699) Finding Title: MIFID II - Remaining EEA Countries (Excl Germany & UK) Finding Owner: Karen Cohen Document Author: Sylvia Escobar Document Date: 04/12/2019 Fa internal use oat Page 1N12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042460 CONFIDENTIAL SDNY_GM_

ting with Patrick C at 4:30pm. b. File name: EEA Remaining Clients_SII_Evidence_Document Let me know if you have any questions. Regards, Sylvia Sylvia Escobar Vice President Deutsche Bark Securities Inc. Wealth Management-Americas 1 South Street, Baltimore. MD21202-3298 CONFIDENTIAL - PURSUANT TO FED.

a Sylvia Escobar vice President Deutsche Bank Securities Inc. Wealth Management-Americas 1 South Street. 21202-3298 Baltimore. MD. USA Tel Mobile: Email: CONF

tsche Bank Trust Company. National Association Deutsche Bank Wealth Management 5022 Gate Parkway. Suite 400 Jacksonville, Florida 32256 USA From: Sylvia Escobar Sent: Tuesday, November 27, 2018 5:38 PM To: Derek St-Hilaire Subject: EEA Client Notation in dbForce Janice Franklin Dear All, I hope you are

Sylvia Escobar Vice President Deutsche Bank Securities Inc. Wealth Management-Americas 1 South Street. 21202-3298 Baltimore. MD. USA Tel: Mobile: Emai CONFI

From: %ohm Escobar To: ESZCIUS:hfal Subject: FW: SII Closure (I] Date: Thursday, April 11, 2019 11:55:35 AM Attachments: ima0e003.pn0 Sylvia Escobar Vice President Deutsche Bank Securities Inc. From: Karen Cohen Sent: Thursday, April 11, 2019 11:42 AM To: Sylvia Escobar <II > Subject: SII Cl

s Client Notification ill Hi Gbenga, Could you please send me the final account population once you are done with your validation? Thanks Sylvia Sylvia Escobar Vice President Deutsche Bank Securities Inc. Wealth Management-Americas 1 South Street. 21202.3298 Ballim r M Tel: Mobile: Email From: Gbeng

h* Bank Tao Ccmpany Arno ices 385 Park Avouk.1•:cis Yon.. NY 10154 tIcittsclievaealth.cotti SCUISICS of through Ikui•xilic Bank Sccuritidi From: Sylvia Escobar Sent: Monday, June 24, 2019 3:11 PM To: Armen Brash Subject: KYC Comment required Hi Armen, Will you be adding a case comment to the below KYC a

Armen Brash Director Deutsche Bank Wealth Management 345 Park Avenue, New York, NY, 10154 Tel Sent from my iPhone On Jun 10, 2019, at 5:57 PM, Sylvia Escobar c > wrote: Hi Armen, Our understanding is that the Primary decision maker for the above resides in the US Virgin Islands and not in the EEA. If c

TANEE, SOUTHERN FINANCIAL 01946825 9/10/2018 US Deutsche Bank Trust U_C RELATIONSHIP Onshore Company Americas Let me know. Regards, Sylvia Sylvia Escobar Vice President Deutsche Bark Securities Inc Wealth Management-Americas 1 South Street Baltimore, MD21202-3298 Tel: Mobile. Email CONFIDENTIAL

Tel: Mobile cleuischos ealth com Somatic= ofterot through Doutsahc Bank &maniacs Inc. From: Sylvia Escobar Sent: Monday, June 24, 2019 3:11 PM To: Armen Brash Subject: KYC Commen require Hi Armen, Will you be adding a case comment to the below KYC adv

utsche Bank Wealth Management 345 Park Avenue, New York, NY, 10154 Tel. Mobile Email Sent from my iPhone > wrote: On Jun 10, 2019, at 5:57 PM, Sylvia Escobar < > wrote: Hi Armen, Our understanding is that the Primary decision maker for the above resides in the US Virgin Islands and not in the EEA. If

ANEE, LLC SOUTHERN FINANCIAL RELATIONSHIP 01946825 9/10/2018 US Onshore Deutsche Bank Trust Company Americas Let me know. Regards, Sylvia Sylvia Escobar Vice President Deutsche Bar* Securities Inc. Wealth Management-Americas CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084563 CONFID

Sylvia Escobar Vice President Deutsche Bank Securities Inc h n n - ri CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076147 CONFIDENTIAL SDNY_G

y, National Association Deutsche Bank Wealth Management 5022 Gate Parkway, Suite 400 Jacksonville, Florida 32256 USA Tel. +1(904)645-4411 Email Sylvia Escobar; Janice Franklin RE: EEA Client Notation in dbForce Tuesday, November 27, 2018 5:44:31 PM image002.png image003.png From: Sylvia Escobar Sent:

From: To: Cc: Janice Franklin Sylvia Escobar Derek St-Hilaire Subject: Date: Attachments: RE: EEA Client Notation in dbForce Wednesday, November 28, 2018 9:20:43 AM image004.png image003

From: To: Sylvia Escobar Robert-B Chen Subject: Date: Attachments: FW: SII Closure [I] Thursday, April 11, 2019 11:55:35 AM image003.png Sylvia Escobar Vice Presiden

From: To: Sylvia Escobar Robert-B Chen Subject: Date: Attachments: FW: EEA Changes [I] Wednesday, April 10, 2019 5:49:45 PM EeaV3Changes.xls image001.png Sylvia Esco