Classification: For internal use only

Classification: For internal use only Hi Amanda, AML Compliance has reviewed the alert dated 5/29/2013 pertaining to our perspective client, Southern Financial LLC. According to the business, our perspective client, Southern Financial LLC was organized in 2013 in the US Virgin Islands. The RDC alerts all occurred prior to the incorporation of our client, and refer to companies located in North Carolina, South Carolina, Virigina, and Florida. Additionally, the companies in the alerts are all corporations whereas our perspective client is a limited liability company. Accordingly, AML Compliance CLEARS these alerts as false positives. Best regards, Andrew J. Kisz Andrew J. Kin Associate I AML Compliance Officer DB Services New Jersey. Inc Asset 8 Wealth Management 5122GateDarkuavSuite4O0. 32256 Jacksonville. USA astritp4vPeeftwem From: Amanda Kirby/db/dbcom To: PWMUS AMLKYC/db/dbcom©DBAmericas. Cc: Andrea Klingenberg/db/dbcom@DBAMERICAS Date' 08/12/2013 05:38 PM Subject: Fw. ROC Alert :—Southern Financial LLC Classification: For internal use only Hi, I realized I never heard back for the below clearance approval. Please let me know as soon as possible as we are now moving ahead with this client and would like to open accounts ASAP. Thank you, Amanda — Forwarded by Amanda Kirby/db/dbcom on 08/12/2013 05:37 PM -- SDNY_GM_00065168 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SONY-0027993 EFTA_00175668 EFTA01255930 From: Amanda Kirby/db/dbcom To: PWMUS AMLKYC/db/dbcom©DBAmericas, Date. 06/12/2013 10:58 AM Subject: Fw. ROC Alert :—Southern Financial LLC III Classification: For internal use only Hi, Please approve clearance for these alerts. These alerts do not pertain to our client. Our client, Southern Financial LLC was incorporated in 2013 in the US Virgin Islands. These alerts all occurred before 2013 and in the Continental US Kind regards, Amanda Kirby Amanda Kirby Associate Deutsche Asset & Wealth Management 34.5 P k A 1 140004 New York. NY. USA Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. -- Forwarded by Amanda Kirby/db/dbcom on 06/12/2013 10:56 AM -- From: lainisigrdbcomeDBAPAC To: Cc: PWMUS AMLKYC/db/dbcomiaDBAmericas Date: 05/29/2013 12:33 PM Subject: RDC Alert :—Southern Financial LLC III Classification: For internal use only Hi Armanda Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC. RDC Alert :— Southern Financial LLC SDNY_GM_00065169 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027994 EFTA_00175669 EFTA01255931 0 itra lo-P Ite-P lo-P i itra ifra la Itra Southern Financial LLC_RDC Alert9.pdf Southern Financial LLC_RDC Alert8.pdf Southern Financial LLC_RDC Afert7.pdf Southern Financial LLC_RDC Alert6.pdf Southern Financial LLC_RDC AlenSpdf Southern Financial LLC_RDC Alert4.pdf Southern Financial LLC_RDC Alert3.pdf Southern Financial LLC_RDC Alert2.pdf Southern Financial LLC_RDC Alert; pdf Southern Financial LLC_RDC Alert.pdf SDNY_GM_00065170 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027995 EFTA_00 175670 EFTA01255932