EFTA Document EFTA01362956

From: Sent: To: 5/16/2018 5:09:51 PM Subject: dbCAR KYC AFC Escalation - Request ID: Legal Name: Southern Financial, LLC The request with the following details has been routed to AFC Level I following a KYC assessment in dbCAR Request ID: Request Type: ModifyKYC Request Date: 5/16/18 4:13 PM Request Status: Pending-AFCReviewLevel 1 Legal Name: Southern Financial, LLC Request Initiator Name: Jesse-J Cruz Business Relationship Name(s): Markets, Adoption Location Name: GB, Updated by: To find out for more information, - Log on to dbCAR system - From the work basket, open the KYC case with ID This is a system generated message. Please do not reply to it directly. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052720 CONFIDENTIAL SONY GM_00198904 EFTA01362956