or distribution of any material herein without our written consent is strictly forbidden. From: Nina Tona Sent: Monday, June 10, 2019 3:38 PM To: Jamaal Bushara a; Joseph Harleston Cc: Padam Chainani a›; Ellenoi Jarvis ; Ana Hunter Ian Salters ff .; Oliver Esslinger Subject: Cases for this Week [I]

s Deutsche Bank Trust Company Americas WM America New York. NY. USA #Positivelmpact From: Nina Tona Sent: Thursday, June 20, 2019 11:29 AM To: Jamaal Bushara Joseph Harlesto • Ellenoi Jarvis < Ian Salter liver Esslinge Subject: RE: Cases for this Week - 6/21 [I] Classification: For Menial use only H

From: Nina Tona Sent: Tuesday, June 11 2019 12:03 PM To: Jamaal Bushara < Cc: Padam Chainani Subject: RE: Cases for this Week - Updated List PI >; Ian Salters < Classification: For internal use only Hi Team, Please

From: Oliver Esslinger [ Sent: 6/20/2019 1:52:20 PM To: rvi ; Jamaal Bushara I; Joseph Harleston • Nina Tona I I • Funda Bozkurt I CC: Padam Chainani I; Ana Hunter I - ; Keith Buckholz ( ; Jennifer Hudson [ Subject

uc. 14th floor. New York. NY 10151, GBA v.n‘s clelitcciten earn-, From: Ellenoi Jarvis Sent: Thursday, June 20, 2019 2:07 PM To: Oliver Esslinge Jamaal Bushara Joseph Harleston Cc: Padam Chainani Nina Tona Funda Bozkurt > Ana Hunter ; Ian Salters - Paolo De-Leon ; Keith Buckholz < ; Joseph Cothron

une 10, 2019 3:38 PM Cc: Padam Chainani <ana >; Ian Salters Oliver Esslinger < ; Joseph Harleston < > ; Ellenoi Jarvis < • ; Ana Hunter To: Jamaal Bushara Subject: Cases for this Week [I) Classification For internal use only Hi Joe and Jamaal, Please see the below list to be worked on for this week.

ew York. NY [0154. USA Tel.: Fax: +1 646 690-1201 Email: www.dCotricbcwealih corn From: Ellenoi Jarvis Sent: Thursday, June 20 2019 1:32 PM To: Jamaal Bushara Tone Cc: Padam Chainani < I>; Oliver Esslinger Subject: RE: Cases for this Week - 6/21 VI ; Joseph Harleston >; Nina >; Ana Hunter ; Ian Salt

t4th floor. New York, NY 10 I S4, USA NVWW dell(50CWCZ1)113 From: Ellenoi Jarvis Sent: Thursday, June 20, 2019 2:07 PM To: Oliver Esslinger a>; Jamaal Bushara .,M MI>; Joseph Harleston Nina Ton >; Funda Bozkurt Cc: Padam Chainani < >; Ana Hunter < Ian Salters olo De-Leon •:=MMIMIIIMIB Keith Buckholz

From: Jamaal Bushara Sent: 4/25/2019 5:16:06 PM To: Brian Serino Jarvis CC: Jamaal Bushara Subject: WM End of Day Updates 4/25/2019 Attachments: Daily Case Trac

From: Kareen Johnson Sent: Tuesday, February 26, 2019 11:53 AM To: Ian Salta >; Brian Serino Cc: Bill King ; Davide-A Sferrazza Yasmeen Alim ; Jamaal Bushara Subject: RE: KYC remediation Classification: For Internal use only Hi Ian, We will add them to the current pipeline, and assign the cases accordi

areen Johnson Sent: Tuesday, February 26, 2019 11:53 AM To: Ian Salters Cc: Bill King < Yasmeen Alim ; Brian Serino < >; Davide-A Sferrazza >; Jamaal Bushara < Subject: RE: KYC remediation (I) Classification: For internal use only Hi Ian, We will add them to the current pipeline, and assign the cases a

Bill King Yasmeen Alim Subject: RE: KYC remediation [I] Classification: For Internal use only Dear All, ; Brian Serino : Davide-A Sferrazza • Jamaal Bushara Nina Tona ; Andrea Sandven After conducting a further review the KYC situation is a lot worse. The revised KYC remediation list is as follows: CO

ry 26, 2019 11:53 AM To: Ian Salters Cc: Bill King < Yasmeen Alim < Subject: RE: KYC remediation [I) Brian Serino < >; Davide-A Sferrazza < >; Jamaal Bushara < Classification: For Internal use only Hi Ian, We will add them to the current pipeline, and assign the cases accordingly. Thank you ! Kareen J

Subject: RE: Cases for this Week - 6/21 [I] From: Oliver Esslinger Date: Thu, 20 Jun 2019 13:52:20 -0400 To: Ellenoi Jarvis Jamaal Bushara Joseph Harlest Nina Tona Funda Bozkurt Cc: Padam Chainani Ana Hunter , L. `-- Ian Salters Paolo De-Leon Keith Buckholz Joseph Cothron Jenni

ith G.K as of 1.16.19 client has not responded Global Markets Remediation Cantillon Capital Management LLC 1000024165 N/A Low 12/24/2018 51 Jamaal Bushara On Hold Joshua Shoshan Gregory J Kiesel Pending with G.K Global Markets Remediation Deprince, Race & Zollo 1000050019 N/ A High 12/24/2018