ank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue 10154.0004 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

based on our present plan of action. Thomas —welcome your thoughts? Regards Ian From: Funda Bozkurt Sent: Friday, February 15, 2019 9:52 AM To: Victoria Bruce < >; Thomas Klemm Olivier Poncet < >; Ian Salters >; Steven Mattus >; >; Andrea DeMar < ; Kimberl Hart >; Puzant Merdinian < >; Bill King <

From: Ian Salters Sent: Friday, Febru - To: Victoria Bruce Thomas Klemm Cc: Ian Salters Subject: Combined KYC list and priorities (II Classification: For internal use only I have just received an updated

Fro nali s Sent: 3/1/2019 2:26:59 PM To: Oliver Esslin e Olivier Ponc Jeffrey Roth CC: Victoria Bruce I I; Ian Salters Subject: OTC Derivative trading with CIB Attachments: OTC Derivatives Project WM Client list 03.01.19.xlsx; deutsche-bank-ag—lon

From: Ian Salters Sent: 2/14/2019 6:43:48 PM To: Victoria Bruce ; Thomas Klemm ; Kimberly Hart Puzant Merdinian • Steven Mattus Olivier Poncet ; Andrea DeMar ; Bill King • Jeffrey Roth CC: Ian Salters

>; Kimberl Hart Puzant Merdinian < >• Steven Mattus < Olivier Poncet < >; Andrea DeMar < >; Bill King < Jeffrey Roth < >; Joe Hamilton < Cc: Victoria Bruce < >; Ian Salters < Subject: OTC Derivative trading with CIB [II Classification: For Internal use only Dear All, After JAX produced the last file

From: Tanushree Kirti Sent: 10/30/2018 10:16:37 AM To: Davide-A Sferrazza Nina Tona CC: Max Kleinert ; Ian Salters ; Victoria Bruce Subject: RE: Family Office Initiative - Follow Up [I] [SC] [CI Attachments: WM clients_ICG coverage 31July2018 - CIB update_KCP US Comments.xlsx;

rogramme Manager Tel +44 20 754-76766 Mobile Email "WM Mercury on myDB" From: Davide-A Sferrazza Sent: 26 October 2018 00:30 To: Nina Tona >; Victoria Bruce c Cc: Max Kleinert < >; lan Salters < > Subject: RE: Family Office Initiative - Follow Up [II [SC) (CI Classification: Confidentiel Hi all, NOT

From: Tanushree Kirti Sent: 11 October 2018 08:43 To: Victoria Bruce Subject: FW: Family Office Initiative - Follow Up (I] (SC] Classification: Strictly Confidential FYI — as background to yesterday's conversation

nk Wealth Management 345 Park Avenue. 10154-0004 New York. NY. USA Tel. Mobil Ema From: Nina Tona Sent: Thursday, October 25, 2018 2:09 PM To: Victoria Bruce < Cc: Max Kleinert ; Tanushree Kirti Ian Salters ; Davide-A Sferrazza Subject: RE: Family Office Initiative - Follow Up [I] [SC] Adding Davide.

lain Macara Sent: 17 September 2018 14:55 To: Tanushree Ki >; Clifford Fourie < Cc: Oliver Bettin Christopher Whyton ; Katherine Stead >; Victoria Bruce Max Kleinert < Subject: RE: Family Office Initiative - Follow Up [I] OK — maybe I'm mistaken but the only list I remember seeing was a mix of vari

INED TAB NOT LISTED 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

obal 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 FYI — as background to yesterday's conversation,

Sent: 17 September 2018 14:12 To: Tanushree Kirti Clifford Fourie Cc: Oliver Bettin < Christopher Whyton Katherine Stead Max Kleinert Victoria Bruce Subject: RE: Family Office Initiative - Follow Up [IJ Hi all, Just to add there was the additional step of Stefan/Louise approval we discussed for

Cc: Oliver Bettin < >; Christopher Whyton < >; Max Kleinert Subject: RE: Family Office Initiative - Follow Up [Ij [SC) ; Victoria Bruce < >; Katherine Stead Classification: Strictly Confidential This is the current list with the actions we have been working with post discussions wi

ntral client selection team to turn those cases to green as they require different set of approvals. In the meantime, we have a new KCP COO in WM — Victoria Bruce (ced), who will address the longer term solution of getting direct access for KCP clients. Best, Tanu Tanu Kirti Director WM Mercury Implementa

ntation Programme Manager From: Max Kleinert Sent: 28 August 2018 13:17 To: Tanushree Kirti ; Sean Carney Cc: Saleha Bilal _ ; onya Hunjan >; Victoria Bruce Subject: RE: List of WM clients dependent on CIB ICG sales [I] [SC] Dear Tanu, Apologies for the delay. Here is the KCP EMEA input. I have sorted

Cc: Max Kleinert < >; Ian Salter/IRWIN Victoria Bruce < Subject: RE: Family Office Initiative - Follow Up [I] [SC] ICI Classification: Confidential Hi Davide and Nina, The spreadsheet provided from U

From: Nina Tona Sent: Thursday, October 25, 2018 2:09 PM To: Victoria Bruce >; Tanushree Kirti Cc: Max Kleinert Ian Salters .1 .; Davide-A Sferrazza Subject: RE: Family Office Initiative - Follow Up [I] [SC] Adding David

onsent is strictly forbidden. This communication does not create any legally binding obligation on the port of 085t or any of its affiliates. From: Victoria Bruce Sent: Thursday, Oct To: Tanushree Kirti Cc: Nina Tona < ; Max Kleinert < M> Subject: RE: Family Office Initiative - Follow Up (I] [SCI Classifi