Cc: Alastair Mackinlay Jitan Patel
Subject: Red List [I]
Classification: For Infernal Use only
Hello Megha and James,
We have found out today that two of our clients are on a red list which I was unaware of. Both of the clients in question we asked to
be retained through Jane Varley and her team. Jitan says there are emails coming from you regarding the red list which I am not a part
of.
1. Who is currently signing off from WM and how can I be included going forward in respect to KCP?
2. Can I see the full red list?
3. If clients are asked to be retained from Jane Varley, why are they on the red list? Do the teams not connect?
4. Tonell — please advise why it's on the red list. Feb 151h it showed up on the lavastorm list and we advised to retain.
5. Southern Financial — we asked to retain a while back and we are in the process of an NCA and a product extension. Why is
this on the red list?
This is all very confusing and frustrating because it doesn't seem like the teams communicate with one another and they should.
Your help will be greatly appreciated.
Kind regards,
Nina Tona
Associate
Business Control Manager, Key Client Partners —Americas
Deutsche Bank Wealth Management
5022 Gate Parkway
Jacksonville Florida 32256
KCP products and senors are intended ond available only for persons who ore sophisticated instaut•onalinvestors within the meaning of the FINRA Rate 4512(C)(3). and who ore
capable of evaluating the strategic; characteristics and investment risks of, and exercising independent judgment in evaloohng, the Ideas and products discussed herein. Trades
and transactions ore subject ro relevant Internal approvals of Oat or Its offdares prior to execution, and the execution of any transaction a kko discussed herein is conditional on
your becoming a client of Deutsche Sank
Key Client Partners (KCP)products, investment ideas and solutions ond related motters discussed herein ore provided for discussion purposes only, and strictly on o non-
advisory basis. The KCP Americas desk does not provide investment advice.
The information set forth herein is confidential andpersonal to you and Is being presentedfor your information andfor discussion purposes only. Any reproduction
and/or redistribution thereof On whole or in partlor disclosure of its content without our written consent is strictly forbidden. This communication does not create any
legally binding obligation on the port of 08St or any of as affiliates.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054063
CONFIDENTIAL SDNY_GM_00200247
EFTA01363779