e the SACA, Pledge Agreements, and other KYC / onboarding dots. Please note that there are two accounts for this client: and Thanks and regards, Paolo Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14t

l 1 escalations please contact Mohammed-B Hussain at email id For Level 2 escalations please contact Melvin Vat email id : gUrriN4TrPe,eOnMd From: Paolo De-Leon Sent: Tuesday, February 27, 2018 7:57 PM To: Collateral Admin-NY >; Abhijit Mukherjee < Cc: Keith Buckholz < >; CRM-PWM Derivatives Subject: So

please confirm if you are in agreement with the below proposal as we have a couple of clients that we are eager to get set up on the DDR. Thanks, Paolo From: Paolo De-Leon Sent: Tuesday, February 06, 2018 5:22 PM To: Teresa Metallo Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Hi

We'll basically send an email to your team and collateral admin NY and all you have to do is add the KYC, PCR, and ROC docs. Regards, Keith From: Paolo De-Leon Sent: Wednesday, February 07,2018 9:07 AM To: Teresa Metallo Cc: Keith Buckholz ; Jason Wang Subject: RE: New Derivatives account. [I] Hello Te

From: Sent: To: Subject: Attachments: Keith Buckholz 6/17/2019 6:17iiiimm Paolo De-Leon FW: NFA [I] Managed Exits.xlsx Classification: For Internal use only Paolo, By the end of this week can you please get Funda what she needs? Tha

Subject: Attachments: Keith Buckholz 6/17/2019 6:17iiiimm Paolo De-Leon FW: NFA [I] Managed Exits.xlsx Classification: For Internal use only Paolo, By the end of this week can you please get Funda what she needs? Thanks. Regards, Keith From: Oliver Esslinger Sent: Thursday, June 13, 2019 5:

z < Subject: RE: New Derivatives account. [I] Hi Sachiva and Abhijit, Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 4:55 PM To: Sachiva Gupta < >; Abhijit Mukherjee < Cc: Keith Buckholz < Subject: FW: New D

ity - SEZ. 302029 Jaipur. India Tel, Avaya- 3382671 Fax Mobile Email malt Go green. Com Kier the environment before printing this email. From: Paolo De-Leon Sent: Wednesday, January 17, 2018 11:02 AM To: Sachiva Gupta < >; Abhijit Mukherjee < Cc: Keith Buckholz < Subject: RE: New Derivatives account.

ss Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South 21202-3298 Baltimore, MD. USA Tel Fax Email From: Paolo De-Leon Sent: Thursday, January 11, 2O18 11:33 AM To: Teresa Metallo < Cc: Diana Canter < >; Keith Buckholz Subject: RE: New Derivatives account. II] T

c: Diana Canter < >; Keith Buckholz Subject: RE: New Derivatives account. II] The account numbers are below: • N46025O98 • N46025114 Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2O18 1O:13 AM To: Teresa Metallo Cc: Diana Canter < >; Keith Buckholz Subject: RE: New Derivati

and RDC stands for. Thanks Xavi From: Keith Buckholz Sent: Wednesday, February 21, 2018 11:19 AM To: Xavier Avila >; Davide-A Sferrazza < Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow (II Hi Xavi, These are the three docs I referred to in our conversation at my desk last week. The Collateral Admi

e Docs needed The Lamia Ventures Corp KYC, PCR, RDC PW Focus Fund LLC KYC, PCR, RDC Southern Financial LLC KYC, PCR, RDC Thanks and regards, Paolo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041476 CONFIDENTIAL SDNY_GM_00187660 EFTA01356049

From: Keith Buckholz Sent: 1/10/2018 5:11. To: Paolo De-Leon Subject: FW: New Deriylitl isaccom MI III M Classification: For Memel use only Paolo, Do you mind running with this tomorrow? We need to check with Teresa Metallo whether she (or her team) supplied the docs required from the LS2 tea

From: Keith Buckholz Sent: 1/10/2018 5:11. To: Paolo De-Leon Subject: FW: New Deriylitl isaccom MI III M Classification: For Memel use only Paolo, Do you mind running with this tomorrow? We need to check wi

bject RE: New Derivatives accoi. Hi Sachiva and Abhijit, Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 4:55 PM To: Sachiva Gupta IIIMIMiAbhijit Mukherjee <M 1> Cc: Keith Buckholz Subject: FW: New Derivatives accoun

uckholz [ Subject RE: New Derivatives accoi. Hi Sachiva and Abhijit, Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 4:55 PM To: Sachiva Gupta IIIMIMiAbhijit Mukherjee <M 1> Cc: Keith Buckholz Subject: FW: N

as her team was previously in charge of retrieving those docs? Thanks, Paolo From: Keith Buckholz Sent: Thursday, February 22, 2018 9:22 AM To: Paolo De-Leon < Subject: FW: KCP Collateral Flow (I] Classification: For IIIIEIT81 use only Did Teresa send us these documents (PCR and RDC) for a client? I fig

as to where to retrieve these docs. Shall I suggest he reach out to Teresa as her team was previously in charge of retrieving those docs? Thanks, Paolo From: Keith Buckholz Sent: Thursday, February 22, 2018 9:22 AM To: Paolo De-Leon < Subject: FW: KCP Collateral Flow (I] Classification: For IIII

Inside Mahindra World City - SEZ. 30cvdJaipur. India Tel. Fax Mobil Email Go green. Consider the environment before printing this email. From: Paolo De-Leon Sent: Thursday, January 18, 2018 10:32 AM >; Abhijit Mukherjee Cc: Keith Buckholz C ; Srikanta Gouda To: Surendra Singh Subject: RE: New Deriva

process around retrieving this information when setting up new LS2 profiles. SIC Code NACE Code KYC Document PCR Document RDC Document Thanks, Paolo Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14t

right direction. Thanks, Paolo From: Davide-A Sferrazza Sent: Wednesday, February 21, 2018 6:54 PM To: Xavier Avila < >; Keith Buckholz < Cc: Paolo De-Leon < Subject: RE: KCP Collateral Flow III Classification: For Internal use only Yes, happy to take point here. Like Xavi mentions, I'm also not sure

ly in charge of providing those documents, so she may be a good resource to reach out to if you need some pointing in the right direction. Thanks, Paolo From: Davide-A Sferrazza Sent: Wednesday, February 21, 2018 6:54 PM To: Xavier Avila < >; Keith Buckholz < Cc: Paolo De-Leon < Subject: RE: KCP

oup-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA From: Paolo De-Leon Sent: Thursday, January 11, 2018 11:33 AM To: Teresa Metallo Cc: Diana Canter Keith Buckholz < Subject: RE: New Derivatives account. Ill The

To: Teresa Metallo Cc: Diana Canter Keith Buckholz < Subject: RE: New Derivatives account. Ill The account numbers are below: • • Thanks, Paolo From: Paolo De-Leon Sent: Thursday, Januar 11 2018 10:13 AM To: Teresa Metallo Cc: Diana Canter < >; Keith Buckholz Subject: RE: New Derivative

Classification: For Internal use only Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street From: Paolo De-Le

y Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street From: Paolo De-Leon Sent: Thursday, January 11, 2018 9:57 AM To: Teresa Metall m> Cc: Diana Canter < Keith Buckholz Subject: RE: New Derivatives account. [II Hell

Mahindra Technol y Park, Inside Mahndra World City - SEZ, 302029 Jaipur, India Go green. Consider the enwennient before printing this ernait From: Paolo De-Leon Sent: Wednesday, January 17, 2018 11:02 AM To: Sachiva Gupta ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. IJ Hi

holz Subject: RE: New Derivatives account. IJ Hi Sachiva and Abhijit, Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 4:55 PM To: Sachiva Gupta >; Abhijit Mukherjee Cc: Keith Buckholz Subject: FW: New Pertvat

For Level 1 escalations please contact Mohammed-8 Hussa For Level 2 escalations please contact Melvin Vat email id : PetnitriA4rt Peefron. From: Paolo De-Leon Sent: Thursday, January 18, 2018 9:02 PM To: Surendra Singh < Cc: Keith Buckholz < Subject: RE: New Derivatives account. [I] Hi Abhijit and Sure

process around retrieving this information when setting up new LS2 profiles. SIC Code NACE Code KYC Document PCR Document RDC Document Thanks, Paolo Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14t

ern Fln.wcal firiifiwFF COCO4C45111I rg Oterg, C. '0i.VIir..NAB OA 034.1 From: Teresa Metallo Sent: Thursday, January 11, 2018 10:04 AM To: Paolo De-Leon < Cc: Diana Canter < >; Keith Buckholz Subject: RE: New Derivatives account. [I] OP.fXr Clal, If /Ca Classification: For internal use only Hi

< Cc: Diana Canter < >; Keith Buckholz Subject: RE: New Derivatives account. [I] OP.fXr Clal, If /Ca Classification: For internal use only Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New Yd.., Tel #

e Docs needed The Lamia Ventures Corp KYC, PCR, RDC PW Focus Fund LLC KYC, PCR, RDC Southern Financial LLC KYC, PCR, RDC Thanks and regards, Paolo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041221 CONFIDENTIAL SDNY_GM_00187405 EFTA01355917

the documentation team (i.e. Ellenoi) to build this into their required doc list so we don't have to ask you moving forward. Regards, Keith From: Paolo De-Leon Sent: Wednesday, February 21, 2018 10:43 AM To: Xavier Avil Davide-A Sferrazza Cc: Keith Buckholz Subject: KCP Collateral Flow Hello Xavi and D

ving the necessary docs, so this new process is looking quite promising so far. From: Keith Buckholz Sent: Tuesday, February 27, 2018 9:28 AM To: Paolo De-Leon a Subject: RE: Southern Financial LLC jlj Classification: For Internal use only Perfect, now we can get this name cleared from the daily margin sh

the SACA, Pledge Agreements, and other KYC / onboarding docs. Please note that there are two accounts for this clientIMIland Thanks and regards, Paolo Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14t

From: Teresa Metallo Sent: Thursday, January 11, 2018 10:04 AM To: Paolo De-Leon < Cc: Diana Canter < >; Keith Buckholz < Subject: RE: New Derivatives account. II) Classification: For Internal use only Hi Paolo, Can you prov

M To: Paolo De-Leon < Cc: Diana Canter < >; Keith Buckholz < Subject: RE: New Derivatives account. II) Classification: For Internal use only Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New Yd... Tel #

To: CUSTOMERBUILD BLO < Cc: Keith Buckholz < ; CRM-PWM Derivatives <[email protected]>; Paolo De-Leon >; Collateral Admin-NY <[email protected]>; Sendhil-kumar K < Subject: RE: Southern Financial LLC Classification: For Internal use only

greements, and other KYC / onboarding docs. Please note that there are two accounts for this client: N4G025403 and N4G026161. Thanks and regards, Paolo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041516 CONFIDENTIAL SDNY_GM_00187700 EFTA01356056