EFTA Document EFTA01373335

Attached below is the EDD Package for RID - ONB - 120902 Southern Financial LLC. Captioned request is principal party set up and it is a Private Investment Vehicle.Request is raised for DBSI- Equity - custody/Margin (Type 1). We are escalating the request as Entity is Private Investment Vehicle. Kameshwaran has reviewed the alerts and the same has been attached for your reference. "Jofin reviewed and OA'd this EDD escalation package and confirms that all appropriate documentation is being escalated? The request has been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf* deleted by Dmitri Saks/db/dbcom) CIP Document [attachment "1 - CIP Doc.pdf' deleted by Dmitri Saks/db/dbcom] Physical Email 'attachment "CIP e-mail.pdf" deleted by Dmitri Saks/db/dbcoml CP Proof 'attachment "CP Proof.pdf' deleted by Dmitri Saks/db/dbcoml UBO Proof [attachment "UBO.PDF" deleted by Dmitri Saks/db/dbcoml ID Proof [attachment "5 - UBO - ID.pdr deleted by Dmitri Saks/db/dbcoml AML Checks on Entity, CP and UBO [attachment "3 - AML Checks.pdf' deleted by Dmitri Saks/db/dbcoml Internal Review 'attachment "Alert Review.pdf' deleted by Dmitri Saks/db/dbcoml Confirmation on Private investment vehicle "attachment "Confirmation.pdr deleted by Dmitri Saks/db/dbcoml Kind regards. Sujith Shetty Sujith Shetty CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067456 CONFIDENTIAL SDNY_GM_002 13640 EFTA01373335