EFTA Document EFTA01363791

Classification: For Internal use only Nina- If a client has been red listed we cannot proceed with the NCA process. Please speak with Jitan Patel about red listed clients and the process around this. Thank you From: Nina Tona Sent: Monday, February 26, 2018 4:46 PM To: Zack Bunimovich Cc: Rita Shte nber • Davide-A Sferrazza Subject: RE: •••REASSIGN NEEDED*" FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] Classification: For Internal We only Yes, we don't understand why it was put on that list. We need lo make sure the NCA is completed and extended for global credit derivatives. Thank you Nina Tona From: Zack Bunimovich Sent: Monday, February 26, 2018 4:44 PM To: Nina Tona Cc: Rita Shte nber < >; • Davide-A Sferrazza Subject: RE: • ••REASSIGN NEEDED•s*FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ""URGENT'* [I] Classification: For Internal use only Hi Nina, If the client was put on the red list that means we can't trade with them? Is this request still needed? Thanks, Zack From: Nina Tona Sent: Monday, February 26, 2018 4:14 PM To: Zack Bunimovich Cc: Rita Shte nber >; Davide-A Sferrazza Subject: RE: "'REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - °NB-101015S ****URGENTs• [I] Importance: High Classification: For Internal use only lo I , CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054099 CONFIDENTIAL SDNY_GM_00200283 EFTA01363791