EFTA01387178

From: Darren Indyke AOL Sent: 4/26/2018 6:29:09 PM To: Martin Zeman CC: Richard Kahn Subject: Paul Barrett Stewart Oldfield I I; Jeanne Brennan Re: Please fill out -> CRS + UK FNMA form (CI Davide-A Sferrazza Confirmed. Sent from my iPhone. Please excuse the typos. On Apr 26, 2018, at 5:46 PM, Martin Zeman < II> wrote: Richard, Liam Osullivan Thank you for your response from last week. Our verification team would like you to confirm the nature of business for Southern Financial LLC. A simple "confirmed" will suffice please. Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes and trading strategies. Thank you Martin Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 54-0004 New York. NY, USA Tel. mail KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the F1NRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of °BSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products. investment ideas and solutions and related matters discussed herein are provided for discussion purposes only. and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction andfor redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of OBS! or any of its affiliates. From: Richard Kahn Sent: Thursday, April 19, 2018 9:30 AM To: Martin Zeman < Cc: Paul Barrett < mailto >; Davide-A Sferrazza < >; Jeanne Brennan < Subject: Re: Please fill out -> CRS + UK FATCA form [C] >; Liam Osullivan < >; Xavier Avila >; Stewart Oldfield >; Darren Indyke CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089346 CONFIDENTIAL SONY GM_00235530 EFTA01387178