n — Please inform Rita to continue with the NCA. Thank you Nina Tona From: Jane Varley Sent: Friday, March To: GM ACO Cc: Nina Tona Sferrazza Tanushree Kirti Subject: RE: SF [I] 02, 2018 11:04 AM ; Xavier Avila ; Rita Shteynber ; Mathew Negus ; Alastair Mackinlay rtin Zeman ; Aziz Anwar Classifica

Cc: Alastair Mackinlay ; Davide-A Sferrazza >; Tanushree Kirti Anwar Subject: RE: SF [I] Importance: High Classification: For internal use only Jitan Patel <a>: Mathew Negus ; Martin Zeman ; Aziz Jane —

ckinla Subject: RE: SF [I] >; Aziz Anwar >; GM ACO < >; Xavier Avila >; Rita Shteynberg >; Jitan Patel Martin Zeman < • Davide-A Sferrazza ; Tanushree Kirti I'll take this one for Jitan. As CIB green please proceed with the NCA process and the inherent KYC update. Thank you Mathew Negus Director I IC

unimovich < Subject: RE: SF Ili >; Nina Tona < >; Jane Varle < >; >; lain Macara < >; Jitan Patel >; Martin Zeman < >; Davide-A Sferrazza >; Tanushree Kirti < >; Zack Thanks for the confirmation. We will proceed with the onboarding. From: Mathew Negus Sent: Friday, March 02, 2018 12:34 PM To: Nina To

From: Jane Varley Sent: Friday, March 02, 2018 11:04 AM To: GM ACO ; Xavier Avila ; Rita Shteynberg ; Mathew Negus Cc: Nina Tona Sferrazza < Tanushree Kirti Subject: RE: SF [I] ; lain Macara ; Jitan Patel ; Alastair Mackinla ; Martin Zeman ; Davide-A ; Aziz Anwar Classification: For internal use o

Cc: Alastair Mackinlay ; Davide-A Sferrazza >; Tanushree Kirti Anwar Subject: RE: SF [I] Importance: High Classification: For internal use only ; Martin Zeman ; Aziz Jane — NCA is still in progress. Rita a

y, March To: GM ACO 02, 2018 11:04 AM ; Xavier Avila ; Rita Shteynberg a ; lain Macara ; Jitan Patel EFTA01401908 Cc: Nina Tona Sferrazza < Tanushree Kirti Subject: RE: SF [I] ; Mathew Negus ; Alastair Mackinlay ; Martin Zeman ; Davide-A ; Aziz Anwar Classification: For internal use only +Aziz an

a Sent: Friday, March 02, 2018 12:22 PM To: Jane Varley < ; GM ACO ; Iain Macara ; Jitan Patel Cc: Alastair Mackinlay ; Davide-A Sferrazza >; Tanushree Kirti Anwar Subject: RE: SF [I] Importance: High Classification: For internal use only ; Xavier Avila ; Rita Shteynberg ; Mathew Negus Martin Zeman

Manager From: lain Macara Sent: 19 July 2018 11:13 To: Katherine Stead c >; Aamir Akram O; Max Kleinert Cc: Clifford Fourie ; Oliver Bettin ; Tanushree Kirti estop er yton u ect: : army ice nitiative - Follow Up [IJ Hi Katherine — thanks for including me. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P.

Hi Tanushree, In case I have missed anything, have there been any developments on this Family Office Initiative? Thanks and regards, Cliff From: Tanushree Kirti Sent: 20 July 2018 11:03 To: lain Macara • Katherine Stead Aamir Akram Max Kleinert Cc: Clifford Fourie ; Oliver Bettin Christopher Whyton S

m to flag WM's interest in CIB system. Best, Tanu Tanu Kirti Director WM Mercury Implementation Programme Manager Tel. Mobil Email WM From: Tanushree Kirti Sent: 03 August 2018 16:12 To: Aamir Akram Max Kleinert Ian Salters Nina Tona Lai Cc: Saleha Bilal anny Heng Letitia Teo <I IM Wai-EE Sherm

From: Tanushree Kirti Sent: 10/5/2018 11:45:18 AM To: Nina Tona CC: Sonya Hunja Subject: FW: List of WM clients dependent on CIB ICG sales [II ISO Attachments: WM

From: Davide-A Sferrazza Sent: 10/25/2018 7:29:39 PM To: Nina Tona ; Victoria Bruce ; Tanushree Kirti ~ CC: Max Kleinert [ ; Ian Salters Subject: RE: Family Office Initiative - Follow Up [IJ [SC] [CI Attachments: WM clients_ICG coverage 31July201

04 New York. NY, USA Tel. +1 Mobile Email From: Nina Tona Sent: Thursday, October 25, 2018 2:09 PM To: Victoria Bruce < Cc: Max Kleinert < >; Tanushree Kirti < >; Ian Salters < >; Davide-A Sferrazza <davide- Subject: RE: Family Office Initiative - Follow Up [II [SC) Adding Davide. Nina Tona Associate

nt: Friday, March 02, 2018 12:22 PM To: Jane Varley ; GM ACO ; Iain Macara ; Jitan Patel Cc: Alastair Mackinlay ; Davide-A Sferrazza Anwar >; Tanushree Kirti Subject: RE: SF [I] Importance: High Classification: For internal use only ; Xavier Avila ; Rita Shteynberg ; Mathew Negus Martin Zeman ; Azi

Shteynber ; Mathew Negus ; Iain Macara ; Jitan Patel Cc: Nina Tona ; Alastair Mackinla Sferrazza ; Martin Zeman ; Davide-A >; Aziz Anwar ,• Tanushree Kirti Subject: RE: SF [I] EFTA01400103 Classification: For internal use only +Aziz and Tanu Hi Monika, This was a WM US retain from the Offboarding

acara ; Rita Shteynber ; Jitan Patel ; Mathew Negus Cc: Nina Tona ; Alastair Mackinlay Sferrazza < ; Martin Zeman ; Davide-A ; Aziz Anwar • Tanushree Kirti < Subject: RE: SF [I] Classification: For internal use only +Aziz and Tanu Hi Monika, This was a WM US retain from the Offboarding Clearing Hous

; GM ACO ; Xavier Avila ; lain Macara ; Rita Shteynberg ; Jitan Patel Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza -; Aziz >; Tanushree Kirti I'll take this one for Jitan. As CIB green please proceed with the NCA process and the inherent KYC update. Thank you Mathew Negus Director I IC

GM ACO ; Xavier Avila ; Rita Shteynber ; Mathew Negus Cc: Nina Tona ; Alastair Mackinla Sferrazza Martin Zeman Davide-A ; Aziz Anwar ; • Tanushree Kirti Subject: RE: SF [I] Classification: For internal use only +Aziz and Tanu Hi Monika, ; lain Macara ; Jitan Patel This was a WM US retain from t

nt: Friday, March 02, 2018 12:22 PM To: Jane Varley ; GM ACO ; lain Macara ; Jitan Patel Cc: Alastair Mackinlay ; Davide-A Sferrazza Anwar >; Tanushree Kirti Subject: RE: SF [I] Importance: High Classification: For internal use only ; Xavier Avila ; Rita Shteynberg ; Mathew Negus Martin Zeman ; Azi

From: Jane Varley Sent: Friday, March 02, 2018 11:04 AM To: GM ACO < =>; Xavier Avila < =>; lain Macara EFTA01401943 Cc: Nina Tona Sferrazza < Tanushree Kirti < Subject: RE: SF [I] Rita Shteynbee>; Jitan Patel ; Mathew Negus ; Alastair Mackinla ; Martin Zeman ; Davide-A ; Aziz Anwar • Classificati

0-6746 I From: Nina Tona Sent: Friday, March 02, 2018 12:22 PM To: Jane Varley < ; GM ACO Cc: Alastair Mackinlay ; Davide-A Sferrazza Anwar ; Tanushree Kirti Subject: RE: SF [I] Importance: High Classification: For internal use only ; Xavier Avila ; Rita Shteynberg ; Mathew Negus ; Martin Zeman ; A

, 10154-0004 Nev, York, NY, USA Tel. Mobi Em From: Nina Tona Sent: Thursday, October 25, 2018 2:09 PM To: Victoria Bruce Cc: Max Kleinert '>; Tanushree Kirti Ian Salters . )avide-A Sferrazza Subject: RE: Family Office Initiative - Follow Up [I] [SC] Adding Davide. Nina Tona Associate Business Control

ct: RE: Family Office Initiative - Follow Up [II [SC) (CI Classification: Confidentiel Hi all, NOT LISTED ON COMBINED TAB NEW NEW NEW NEW >; Tanushree Kirti Please see tab "KCP US" of the attached for comments/changes. Any existing names on the list that were not reflected in the "Combined" tab are high

hanks, Vicky Vicky Bruce Managing Director I Global COO KCP and CFP Wealth Management 70 Victoria Street. SW1E 6SO London. United Kingdom From: Tanushree Kirti Sent: 11 October 2018 08:43 To: Victoria Bruce Subject: FW: Family Office Initiative - Follow Up (I( (SC) Classification: Silicify Confidential

ON COMBINED TAB NOT LISTED ON COMBINED TAB NOT LISTED ON COMBINED TAB NOT LISTED ON COMBINED TAB NEW NEW NEW NEW >; Victoria Bruce < >; Tanushree Kirti CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052097 CONFIDENTIAL SDNY_GM_00 198281 EFTA01362604

To: Katherine Stead >; Aamir Akram < >; Max Kleinert Cc: Clifford Fourie >; Oliver Bettin >; Tanushree Kirti ; Christopher Whyton < Subject: RE: Family Office Initiative - Follow Up [I) Hi Katherine — thanks for including me. There's been a lot a dial

t of office next week. Best, Tanu Tanu Kirti Director WM Mercury Implementation Programme Manager Tel. + Mobil Email 'WM __Pricca_on From: Tanushree Kirti Sent: Wednesday, 25 July, 2018 0:32 To: Mattias Fuerstenberger Julia Rubio-Lu•ue Emily Craig Christopher Lai Cc: Sonya Hunjan Subject: List o

From: Nina Tona Sent: 19 October 2018 13:33 To: Tanushree Kirti Subject: Red List Hi Tanu, Hope all is well. I was made aware that the red list where we need help from ICG to execute trades its being held up b

Hi Tanushree, In case I have missed anything, have there been any developments on this Family Office Initiative? Thanks and regards, Cliff From: Tanushree Kirti Sent: 20 July 2018 11:03 To: lain Macara <->; Katherine Stead < <a 3 mir.akrarnadb.com>: Max Kleinert <max.kleinertadb.com> Cc: Clifford Fourie

nsent is strictly forbidden. This communication does not create any legally binding obligation on the port of DB.St or any of its affiliates. From: Tanushree Kirti Sent: Tuesday, October 09, 2018 11:25 AM To: Nina Tona Ian Salters ~> Subject: RE: List of WM clients dependent on CIB ICG sales II] ISCI Classi