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sd-10-EFTA01401877Dept. of JusticeOther

EFTA Document EFTA01401877

Subject: RE: Southern Financial RDC Alerts [I] From: Xavier Avila Date: Wed. 04 Apr 2018 17:18:47 -0400 Nina told me it's me that I need to approve this instead of Martin, so I approve. Matt, let's discuss this client and RDC Alerts, this client has gone through a tremendous amount of scrutiny at WM KYC level and management decision is that we are engaging the client. Thanks Xavi From: Mathew Negus Sent: Wednesday, April 04, 2018 1:57 PM Subject: RE: Southern Financial RDC Alerts [I]

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sd-10-EFTA01401877
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Subject: RE: Southern Financial RDC Alerts [I] From: Xavier Avila Date: Wed. 04 Apr 2018 17:18:47 -0400 Nina told me it's me that I need to approve this instead of Martin, so I approve. Matt, let's discuss this client and RDC Alerts, this client has gone through a tremendous amount of scrutiny at WM KYC level and management decision is that we are engaging the client. Thanks Xavi From: Mathew Negus Sent: Wednesday, April 04, 2018 1:57 PM Subject: RE: Southern Financial RDC Alerts [I]

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Subject: RE: Southern Financial RDC Alerts [I] From: Xavier Avila Date: Wed. 04 Apr 2018 17:18:47 -0400 Nina told me it's me that I need to approve this instead of Martin, so I approve. Matt, let's discuss this client and RDC Alerts, this client has gone through a tremendous amount of scrutiny at WM KYC level and management decision is that we are engaging the client. Thanks Xavi From: Mathew Negus Sent: Wednesday, April 04, 2018 1:57 PM Subject: RE: Southern Financial RDC Alerts [I] Yes From: Martin Zeman Sent: Tuesda Aril 03 2018 1:01 PM EFTA01401877 Subject: RE: Southern Financial RDC Alerts [I] Acknowledged. Please proceed with onboarding. Mat — please confirm the same to Zack. Martin From: Zack Bunimovich Sent: Tuesda Aril 03 2018 12:24 PM Subject: Southern Financial RDC Alerts [I] Mat/Xavier, We received a few RDC alerts for Jeffery Epstein, sole shareholder of Southern Financial. Please see them attached. Can you acknowledge these hits and confirm that you would like to proceed with onboarding the client? Thanks, {https://brandportal.intranet.db.com/img/modules/logo.gif} Zack Bunimovich Deutsche Bank Securities Inc. EFTA01401878 Client Mana.ement & Client Due Dili.ence EFTA01401879

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