EFTA Document EFTA01363032

EFTA Document EFTA01357151

a. KCP clients had migrated from dbCLIENT to dbCAR, potentially the migration did not complete correctly (this will continue to be investigated SEPERATELY to this Extension request) b. At the very first adoption of the client/extension to UK GM products, this was not correctly booked within our internal systems iv. Fixes to the dbCAR profile were discussed between Global CDS teams, of which the latter was chosen due to time constraints and the impact upon our first line colleagues; a.

EFTA01363032

EFTA Document EFTA01357168

From: Jesse-J Cruz Sent: Thursday, May 03, 2018 3:05 PM To: AMLUK Reviews <amluk.reviews a7db.com>• amluk compliance <amluk.compliance€clb.com> Cc: Zack Bunimovich >; Kareen Johnson Subject: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC (I] Classification: For internal use only Hi All, We are performing a principal product extension for Southern Financial, LLC for GED, Convertible Bonds, and Global Credit Derivatives in DBAG. D8car triggered a high risk rating. Attach

EFTA Document EFTA01357152

UK AFC are kindly in receipt of the KCP GM policy dated June 2017 (duly noted that this is currently under review), this document has proved useful in giving context to the UK GM product nexus with solely a US booking. Due to the local UK time, I will be discussing KCP Extensions with my management on Monday as to best understand and process such requests in the future. I truly appreciate the time and knowledge that has been shared and look forward to our conversations next week as to supp

EFTA01357167

EFTA Document EFTA01357153

<imagc001.gir- fames Gladwin AFC Business Advisory Anti-Financial Crime DBOI Global Services (UK) Limited S Brindle Place, Birmin ham B1 21B, United Kingdom Emai mg Please consider the environment before printing this email From: Martin Zeman Sent: 08 May 2018 20:27 To: Zack Bunimovich AMLUK Reviews ;Jesse-J Cruz ; James Gladwin areen o nson ; Daniel-A Klyashtorny ; Nina Tona er Avila Davide-A Sferrazza Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC