EFTA Document EFTA01363055

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Dept. of Justice

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sd-10-EFTA01363055

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Jimmy-H Xu Cross Currency Swap Trading Deutsche Bank AG, Filiale London CB&S - Markets Winchester House. 1 Great Winchester Street. EC2N 2DB London. United Kingdom From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus < , Akash Malhotra < ; Cc: Joe Aglione Pankaj-A Chopra Ian Salters >. Nina Tona ; ; NCAOTC Derivatives ; Martin Zeman a opals Mila Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] 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 Chopra Akash Malhotra ; NCAOTC Derivatives ; Pankaj-A ; Alka Gopala ; Nina Tona Ian Salters ‘ ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Classification: For Inbmal ties only I would re-book to London if the desk agrees. From: Xavier Avila Sent: Monday, April To: Akash Malhotra Cc: Shawn Staker Chopra Ian Salters 16.2018 7:44 AM Mathew Negus ; Martin Zeman ; Alka Gopala ina Tona < NCAOTC Derivatives ; Pankaj-A Subject: RE: KYC Breach_SOUTHFINANMD_Southem 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052903 CONFIDENTIAL SONY GM_00199087 EFTA01363055

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1 Great Winchester Street, EC2N 2DB London, United Kingdom From: Xavier Avila [mai I io Sent: 16 April 2018 17:55 To: Mathew Ne s Cc: Joe Aglione Pankaj-A Cho r ra Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Akash Malhotra AOTC Derivatives Nina Tona MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: X vi r Avila Cc: Chopra Ian Salters Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD

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Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC FFT Location [I] From: Mathew Negus 1.11.1.0..M> Date: Tue, 17 Apr 2018 10:44:22 -0400 To: Xavier Avila Nina Tona Cc: Ian Salters < , Martin Zeman Classification: For internal use only Yep Thursday let's catch up. There is a Council call today so I'll get some feedback on system access. This doesn't have the green light yet, GM silo'd so I expect it will be a difficult sell to give WM access to all GM systems. Mathew Negus

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Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I] From: Xavier Avila Date: Tue, 17 Apr 2018 14:58:46 -0400 To: Mathew Negus Nina Tona Cc: Ian Salters Martin Zeman Daniel-E Kaiser Lets set up call Thursday. It's basic access to booking trades and being able to do our sales job. If we canot do that, I would love to hear what is GM plan B, we go back to relying on ICG to help? That model does mot work anymore (includding because of Project Mercury), we are not

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From: Xavier Avila Sent: Monday, April 16 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker < ; NCAOTC Derivatives ; Pankaj-A Chopra opata ; Nina Tona Ian Salte ; Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHF1NANMD_Southem 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 " ies Inc From: Akash Malh

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Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] From: Jimmy-H Xu Date: Mon, 16 Apr To: Xavier Avila Mathew Negus Akash Malhotra < Cc: Joe Aglione Ian Salters Nina Tona Pankaj-A Chopra NCAOTC Derivative Martin Zeman Alka Gopala < Classification: For internal use only Approved as one-off, but let's get the KYC done for FFT please Thanks Kind regards Jimmy {https://brandportal.intranet.db.com/img/modules/logo.gif} Jimmy-H Xu Cross Currency Swap Trad

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Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I] From: Mathew Negus Date: Tue, 17 Apr 2018 09:10:47 -0400 To: Nina Tona Xavier Avila Cc: Ian Salters Martin Zeman Classification: For internal use only Extension to FFT goes to US Case Management. What's the mat date on the xccy swap? Mathew Negus Director I ICG Business Management I I I From: Nina Tona Sent: Tuesday, April 17 2018 8:32 AM To: Mathew Negus Jimmy-H Xu Xavier Avila ; Akash Malhotra Cc:

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