EFTA01406915

Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] From: Xavier Avila Date: Mon, 16 Apr 2018 21:30:18 -0400 To: Jimmy-H Xu Mathew Negus Akash Malhotra Cc: Joe Aglione Ian Salters Nina Tona Pankaj-A Chopra NCAOTC Derivatives Martin Zeman Alka Gopala Done, thanks. Are all the XCCYs generally booked and clients KYCed in DB AG FFT? What about EUR and GBP vanilla and inflation swaps? We might have some of those coming. Mat/Nina, who can help us with FFT extensions, same NY CMs? Thanks From: Jimmy-H Xu Date: Monday, Apr 16, 2018, 11:56 To: Xavier Avila Akash Malhotra Mathew Ne us Cc: Joe A lione Ian Salters Nina Tona Pankaj-A Chopra NCAOTC Derivatives , Martin Zeman Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Classification: For internal use only Approved as one-off, but let's get the KYC done for FFT please Thanks EFTA01406915 Kind regards Jimmy {https://brandportal.intranet.db.com/img/modules/logo.gif} Jimmy-H Xu Cross Currency Swap Trading Deutsche Bank AG, CB&S - Markets Winchester House Tel. Mobile Email Filiale London 1 Great Winchester Street, EC2N 2DB London, United Kingdom From: Xavier Avila [mailto: Sent: 16 April 2018 17:55 To: Mathew Negus Akash Malhotra Cc: Joe Aglione Ian Salters Nina Tona Pankaj-A Chopra NCAOTC Derivatives Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Martin Zeman Shawn, MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: Xavier Avila Cc: Shawn Staker Akash Malhotra NCAOTC Derivatives Pankaj-A Chopra Alka Nina Tona an a ters ; Martin Zeman Subject: RE: KYC Breach SOUTHFINAN out ern inancia , LC FFT Location [I] EFTA01406916 Classification: For internal 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 <akash.malhotra•db.com> Cc: Shawn Staker ; NCAOTC Derivatives Pankaj-A Cho ra Gopala • Nina Tona Ian Salters Mathew Negus Martin Zeman Alka Subject: RE: KYC Breach_SOUTHFINANMD_Southern 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 Deutsche Bank Securities Inc From: Akash Malhotra Date: Monday, Apr 16, 2018, 07:34 To: Xavier Avila Cc: Shawn Staker , NCAOTC Derivatives EFTA01406917 , Pankaj-A Chopra Alka Gopala Subject: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Classification: For internal use only Hi Alex, For adoption location Frankfurt, the following trade has been booked in Summit application for OTC Derivative Product, details as follows: Trade ID: G175714L Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 Client Name: Southern Financial, LLC We have got your name as a sales person from Summit application. We have observed that the client is not adopted for Frankfurt location, which results in a KYC violation. In order to comply with DB's internal policies and procedures, all KYC requirements now have to be fulfilled, if the trade should stand against Deutsche Bank Kindly review your trade and where possible, please consider to rebook the trade to an adoption location, where the client is already adopted for OTC Derivative product or confirm if it is a valid trade for the particular location. Upon your confirmation, we will review the client and would request the missing documents to be obtained from the client/business as per Frankfurt EFTA01406918 location guidelines. Summit screenshot: Trade Details {cid:[email protected]} Regards Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Emai Escalations Contact:- This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01406919 EFTA01406920