on Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India From: Stewart Oldfield Sent: Thursday, 0 To: Vijay-A Sawant Cc: Bradley Gilli ayur Rathod Vinita Advani Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Alka Babu CONFIDENTIAL - P

From: Vijay-A Savavw Sent: 7/31/2018 9:01:09 AM To: Bradley Gilli Stewart Oldfield CC: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts Butterfly Trust (GCISt1486426) and Neptune, LLC (GCIS848

77700 (I) Importance: High Classification: For Internal use only Daphne. See helots. Regards. Brad From: Vijay-A Sawant Sent: Tuesday, S To: Bradley Gilli Stewart Oldfield Cc: Richard larossi Mayur Rathod Subject: RE: Assistance Required in Resolving Rejection Points KYC ft - 01977700 [I] Importanc

ld free up at 4 or so. Will try you then. Thanks 1 From: Richard Kahn [mailto Sent: Thursday, October 25, 2018 3:20 PM To: Stewart Oldfield Cc: Bradley Gilli Richard larossi Subject: Re: Gratitude ok please call when free tomorrow also what is status of butterfly brokerage? please advise thank you Ric

From: Stewart OldfieId Sent: Wednesday. To: Vijay-A Saw ant Cc: Bradley Gilli Richard larossi Subject: Southern mancia Vijay, Have we had any feedback on the lasted KYCs you submitted for Southern Financial? Would be good to

Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Wednesday. September 26, 2018 6:02 AM To: Stewart Oldfie Cc: Bradley Gilli ; Richard larossi Alka Babu Subject: RE: Southern Financial Importance: High Hello Stewan_ ; Mayur Rathod We have some good news in that regar

From: Vijay•A Sawant Sent: 7/30/2018 6:20:57 AM To: Morgan Trichel CC: Stewart Oldfield • Bradley Gilli Subject: Clarification Required on COD Form - Section C Attachments: Fincen Forms for various accounts under this relationship.pdf; Jeffrey ID DL.

From: Stewart Oldfield Sent: 5/4/2018 9:5 To: Bradley Gilli Subject: Fwd: Inquiry Regarding Account Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Manageme

From: Bella Klein [mails Sent: Wednesday, March 20, 2019 3:42 PM To: Brice Gordon Cc: Bradley Gilli Subject: WE Stewart Oldfield Please help me with bank reference for the attached wire transfer Thank you, Bella Begin forwarded message: Fro

s Highway Go 400063, India T From: Vijay-A Sawant Sent: Friday, August 24 2018 2:39 PM To: Stewart Oldfie Richard larossi Cc: Mayur Rathod ; Bradley Gilli Subject: RE: 2018 Periodic Review of High Risked Account Butterfly Trust (GCIS#486426) and Neptune, LLC (GCISft487264) under the SOUTHERN FINANCIA