EFTA Document EFTA01363789

From: Davide-A Sferrazza Sent: 2/26/2018 7:02:00 PM To: Billy Obregon I Subject: RE: Tonelle -> Autobahn/Realtick iij Attachments: RE_ REASSIGN NEEDED FW_ SOUTHERN FINANCIAL LLC ONB- UR... (161 KB).msg Classification: For Internal WO only FYI — we are working to figure out what is going on here, but seems nobody in GM can answer the question. Having these same "red list" issues today with Southern Financial too... From: Billy Obregon Sent: Monday, February 26, 2018 7:00 PM To: Bettina-a Schneider < Cc: Gabriel Micheletti < < >; Gabriel Michel Michael Jacob < Subject: Tonelle -> Autobahn/Realtick Importance: High Davide-A Sferrazza < >; Xavier Avila ; Uam Osullivan >; Hi Bettina, I hope you are doing well. Today Tonelle through the team at Optimist contacted us in NY because they were not able to trade via autobahn as the account has been put in the red list. Do you know if this was done as a result of the team refusing to get the LEI number? As you can see per the email below, we have provided them all the information to obtain the LEI number - Also, we provided all details to Gabriel who explained to Felipe Gulfi the need to get this done. Can you please look into the system if the restriction is due to this issue with the LEI so at lease we provide Tonelle and the team at Optimist the need to get this done ASAP. Thank you in advance for your help. Billy From: Davide-A Sferrazza Sent: Monday, February 26, 2018 11:49 PM To: Sofia Van') < Cc: Billy Obregon < >; Martin Zeman < >; Liam Osullivan >; Gabriel Micheletti < Subject: Instructions to obtain an LEI Number Hi Sofia, Tatiana forwarded along the request regarding obtaining an LEI number — please refer to the attached instructions (note that an LEI number and CICI code are the same thing). CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054095 CONFIDENTIAL SDNY_GM_00200279 EFTA01363789