EFTA Document EFTA01368148

From: Nina Tona Sent: Tuesday, November 14, 2017 10:51 AM To: Martin Zeman ~>; Xavier Avila < Cc: Alastair Mackinlay < 1~>; Mathew Negus Subject: Southern Financial LW (II Classification: For Intermit use only HI Martin, Hope all is well. Southern Financial LLC is one of the accounts GM wanted to off-board thus we are working on retaining the client. In order to do so, kindly provide the below info. PENDING W/BUSINESS 1. Provide RR (Sales Rep) AND RP (Desk Head) 2. Provide Certification of Incorporation 3. ACO Attestation — Xavier Avila 4. BSF Form — ;Neese wait with the client to have the attached filled out. S. MD sales approval —Xavi please approve the below HI Xavi, Kindly provide MD sales approval for the NCA of Southern Financial LLC for the below products/entities. ash F. z ed Imxtme Caah Egwties OTC 0rnvatipro TriP 'RV P DVP1WP ptioo F>: Catt. C.Omniad =be b QED DB AG {WM D651 De AG (LIM) De AG (Lin DS AG :WM.+ DS AG ILDN) DES, Thanks Kind regards, Nina Tona Associate Business Control Manager, Key Client Partners —Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville Florida 32256 hta products ond services ore intended and obeilabie only for persons who ore sophisticated institutional imestors within the meaning of the MYRA Rule 4512(C)(3), and who ore capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions ore subject to relevant internal approvals of 089 or its affiliates prior to execution, and the execution army transaction or idea discussed herein isconditionol on YOur becoming a client of Deutsche Bonk. 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059810 CONFIDENTIAL SDNY_GM_00205994 EFTA01368148