EFTA01362961

To: Mathew Ne s ; Akash Malhotra Cc: Joe Aglione • Ian Salters Nina Tona Pankaj-A Cho•ra ; NCAOTC Derivatives Zeman ; Alka Gopala <a> Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Shawn, MO, is it ok to move this trade to London pis? From: Mathew Negus Sent: Monday, April 16 2018 9:03 AM To: Xavier Avila Cc: Shawn Staker Chopra Ian Salters ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] • Akash Malhotra ; NCAOTC Derivatives ; Alka Gopala Nina Tona Classification: For Memel use only I would re-book to London if the desk agrees. From: Xavier Avila Sent: Monday, April 16 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker Chopra Ian Salters >, NCAOTC Derivatives • Panka.-A >; Alka Gopala Nina Tona ; Mathew Negus • Martin Zeman Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Thanks Xavier Avila Managing Director Deu the Bank ecurities Inc From: Akash Malhotra Date: Monday, Apr 16 2018 07.34 To: Xavier Avila Cc: Shawn Sulker NCAOTC Derivatives Pankaj-A Chopra Alka Gopala Subject: KYC Breach_SOUTHFINANMD_Southcm Financial, LLC_FFT Location Ill Classification: For Internal use only Hi Alex, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052732 CONFIDENTIAL SONY GM_00198916 EFTA01362961