From: Sent: To: CC: Subject: Attachments Julie Cataudella 5/3/2019 1:52:26 PM Funda Bozkurt Kimberly Hart RE: DB Force - Client types [II IWP Eligibility SCRUB 5.2.19.xlsx Classification: For Infernal use only ; Ian Salters Based on ou

's risk so these clients are on the same KYC cycle 4. All — discuss tracking IWP's "Market Professionals" in DBforce Original Appointment From: Funda Bozkurt Sent: Monday, April 29, 2019 11:52 AM To: Funda Bozkurt; Julie Cataudella; Ian Salters Subject: DB Force - Client types tij When: Thursday, May 0

From: Funda Bozkurt Sent: 6/6/2018 3:14:29 PM To: Davide-A Sferrazza Subject: RE: NCA's Completed in May/Update III Classification: For internal use only I am tr

a Bozkurt Deutsche Bank Trust Company Americas. WM-Divisional Control Office From: Davide-A Sferrazza Sent: Wednesday, June 06, 2018 3:11 PM To: Funda Bozkurt Subject: RE: NCA's Completed in May/Update ill Classification: For Internal use only The Dakota KYC was prepared and submitted by Robert Rodriguez

hese clients are on the same KYC cycle All — discuss tracking IWP's "Market Professionals" in DBforce EFTA01399510 Original Appointment From: Funda Bozkurt Sent: Monday, April 29, 2019 11:52 AM To: Funda Bozkurt; Julie Cataudella; Ian Salters Subject: DB Force - Client types [I] When: Thursday, May 0

Subject: RE: DB Force - Client types [I] From: Julie Cataudella Date: Fri, 03 May 2019 13:52:26 -0400 To: Funda Bozkurt Ian Salters Cc: Kimberly Hart Classification: For internal use only Based on our discussion yesterday, below is the summary and next steps. SUMM

nd of this week can you please get Funda what she needs? Thanks. Regards, Keith From: Oliver Esslinger Sent: Thursday, June 13, 2019 5:00 PM To: Funda Bozkurt Keith Buckholz ; Paolo De-Leon < Cc: Kimberly Hart a. , Swasi Bate < Subject: RE: NFA [I] Classification: For internal use only PS: If needed p

nagement Deutsche Bank Tnist Company A inermss Focal addrew 345 Park Avenue, 14th floor, New York, NY 1015.1. LISA viwsr dcuLcho‘calth.uoin From: Funda Bozkurt Sent: Thursday, June 13, 2019 3:09 PM To: Keith Buckhol Cc: Kimberly Hart Subject: RE: NFA [I] ; Paolo De-Leon a .> Swasi Bate • I>: Oliver Ess

BO? We are being told this account needs AK exception approval to onboard, but I'm not sure who made this determination. Thank you, Davide From: Funda Bozkurt Sent: Monday, June 04 2018 3:07 PM To: Xavier Avila Cc: Zbynek Kozels y Subject: RE: NCA's Completed in May/Update Ill Classification: For Inter

cas. WM-Divisional Control Office 345 Park Avenue. 10154-0004 New York. NY, USA From: Davide-A Sferrazza Sent: Monday, June 04, 2018 3:11 PM To: Funda Bozkurt Xavier Avila < Cc: Zbynek Kozelsky ; Nina Tona Subject: RE: NCA's Completed in May/Update [I] Classification: For Internal use only Funda, ; I

Subject: RE: Butterfly brokers e [I] From: Diana Canter Date: Tue, 25 Sep 2018 15:20:23 -0400 To: Funda Bozkurt zia Memon Cc: Kimberly Hart Please give me some examples Kind regards, Diana Canter Ottps://brandportal.intranet.db.com/img/modules/- DAWM_ lo

visory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Funda Bozkurt Sent: Tuesday, September 25, 2018 3:18 PM To: Diana Canter ; zia Memon e > Cc: Kimberly Hart Subject: RE: Butterfly brokerage [I] Classificatio

To: Anthony Carbonetto Craig Roberts .::=a; Ian Salters Rebecca Gaily Cc: Keith Buckholz ; [email protected]' ;Julia-C Vetter ; Funda Bozkurt ; Oliver Esslinger Subject: RE: NFA [I] Classification: For internal use only Hi, Updated list provided items in yellow are marked for IM by BRM

Thanksl From: Ellenoi Jarvis Sent: Wednesday, Ma 29, 2019 9:56 AM To: Rebecca Gaily < >; Craig Roberts < >; Cc: Ian Salters < >; Funda Bozkurt >; Julia-C Vetter < Subject: RE: NFA [I1 Classification: For Internal use only Good Morning, Yes I will and I will provide update if needed. Si

Divisional Control Office 345 P k Av 1 154.0004 New York, NY, LISA Tel. Email From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:15 PM To: Funda Bozkurt < Cc: Paolo De-Leon < Subject: FW: New Derivatives account. II) Importance: High Classification: For Internal use only Hi Funda, Do you know wh

From: Keith Buckholz Sent: 1/9/2018 2:16:43 PM To: Funda Bozkurt Subject: RE: New Derivatives account. [I] Classification: For internal use only Thanks. From: Funda Bozkurt Sent: Tuesday, Januar 09 2018 2:16

From: Funda Bozkurt Sent: Tuesday, January 09, 2018 2:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. DI You can ask Zia Memon /Dia

account). Apparently, Gideon Pinedo helped with this process in the past. Thanks. KYC Document PCR Document ROC Document Regards, Keith From: Funda Bozkurt Sent: Tuesday, January 09, 2018 2:16 PM To: Keith Buckholz < Cc: Paolo De-Leon < Subject: RE: New Derivatives account. [I] You can ask Zia Memon

cas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, NY, USA From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:15 PM To: Funda Bozkurt > Cc: Paolo De-Leon Subject: FW: New Derivatives account. III Importance: High Classification: For Internal use only Hi Funda, Do you know who

From: Keith Buckholz Sent: 1/9/2018 2:15:19 PM To: Funda Bozkurt CC: Paolo De-Leon Subject: FW: New Derivatives account. I Importance: High Classification: For Internal use only Hi Funda, Do you know who o

I] Classification: For internal use only + Swap Dealer Compliance From: Ian Salters Sent: Friday, May 24, 2019 10:17 AM To: Craig Roberts < Cc: Funda Bozkurt Rebecca Gaily >; Ellenoi Jarvis Oliver Esslinger Keith Buckholz ; Julia-C Vetter a Classification: For Infernal use only El lenoi Many thanks

.0004 New York, NY, USA Tel. Fax Mobile Email #Positivelmpact From: Craig Roberts Sent: Friday, May 24, 2019 4:26 PM To: Ellenoi Jarvis < >; Funda Bozkurt < Cc: < >; Rebecca Gaily Subject: RE: NFA Classification: For internal use only All, Please find attached two lists. The l c list was provided

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

.0004 New York. NY, USA Tel. il Email Original Appointment From: Victoria Bruce Sent: Wednesday, February 13, 2019 3:16 PM To: Victoria Bruce; Funda Bozkurt; Thomas Klemm; Kimberly Hart; Puzant Merdinian; Steven Mattus; Olivier Poncet; Ian Salters; Andrea DeMar; Bill King; Jeffrey Roth Subject: FW: Clie

ednesday, October 10, 2018 7:10 AM To: Coley Jellinghaus < Cc: Diana Canter < >; Kimberly Hart < Subject: Re: Butterfly brokerage [CI Coley, >; Funda Bozkurt May be I don't understand the full picture as described to me. As I recall, account in question is a trust for benefit of employees, has value/net

Cc: Ian Salters <->; Funda Bozkurt < >; Julia-C Vetter < Subject: RE: NFA [Ij Classification: For Internal use only Thanks Ellenoi. Can you please give me an indication of when it