EFTA Document EFTA01362526

4 :it> CO AO (WM ST AO :I.C.1) Oe AO MOM) CS AG 0.001) M AO (IOM) Des' 08914 Oa AO :WS) Thank you Nina Tona From: Nina Tona Sent: Thursday, November 16, 2017 9:35 AM To: Martin Zeman Cc: Alastair Mackinlay Subject: RE: Southern Financial LLC Classification: For Internal use only Hi Martin and Xava, Xavier Avil , Mathew Negus Please advise on the below, we have 6 weeks to complete this process. PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form - Please work with the client to have the attached filled out. 5. MD sales approval — X.svi please approve the below HI Xavl, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. 08 AO (WAII 0081 OD AO (LCN) DO AO (LINO DI N3 0.0 OS AG i LOB) OBSI OBIll 4 DO AO !UN) 8 Thank you Nina Tona From: Nina Tona Sent: Tuesday, November 14, 2017 10:51 AM To: Martin Zeman Xavier Avila Cc: Alastair Mackinlay at ew egus Subject: Southern Financial LLC Classification: For internal use only HI Martin, Hope all is well. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051980 CONFIDENTIAL SDNY_GM_00 198164 EFTA01362526