EFTA Document EFTA01365090

From: Vahe Stepanian Sent: 8/28/2015 8:32:07 AM To: CC: Daniel Sabba Ariane Dwyer Subject: FW: Southern Financial Ill Classification: For Internal use only Daniel —we need to schedule a meeting with Troy and Roddy. Working with CRM has been difficult in your absence, and we need to determine best practices going fwd. Thank you, Vahe From: Roddy Moore Sent: Thursday, August 27, 2015 2:57 PM To: Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For Internal UM only We're trying to figure out the disconnect on the collateral monitoring. Apparently, the back office has not been able to set up the collateral accts properly in the system, because you haven't sent them the KYC and SIC code for them to do so. The KYC should be easy. If you don't know the SIC or where to get it from, then you should start with Ellenoi to see how they handle it on the STG side. Since they've been unable to get this info, they've been trying to manage this manually, which clearly is not working. They say that there are more than one name that has the same problem. Have you guys tried to make any headway on this? From: Ariane Dwyer Sent: Tuesday, August 25, 2015 4:13 PM To: Roddy Moore Cc: Daniel Sabba; Vahe Stepanian Subject: RE: Southern Financial [I] Classification: For Internal use only Thanks Roddy. As discussed the client has approved a transfer of AAPL shares to meet today's margin call. We will address the issue with the incorrect haircut rate on AAPL next week when Daniel is back. From: Roddy Moore Sent: Tuesday, August 25, 2015 3:59 PM To: Ariane Dwyer Subject: Southern Financial [I] Classification: For Internal use only Taking 50% on AAPL as we agreed, there would be a $2,735,000 shortfall including today's call. If we wants to cover with more AAPL, then he'd need to bring over twice that amount (i.e. $5,470,000). Roddy Moore Credit Risk Management Deutsche Asset & Wealth Management (P) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055727 CONFIDENTIAL SDNY_GM_00201911 EFTA01365090