EFTA Document EFTA01370208

From: Todd Stevens Sent: 11/9/2016 6:20:17 PM To: Stewart Oldfield Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 (I) Classification: For internal tree only From: Daniel Sabba Sent: Wednesday, November 09, 2016 6:18 PM To: Todd Stevens; Zbynek Kozelsky; Darlene Zong; Vahe Stepanian Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Todd let's discuss how to respond. Original Message From: Vahe Stepanian Sent: Wednesday, November 09, 2016 02:04 PM Pacific Standard Time To: kyc outreachteam Cc: Daniel Sabba; Darlene Zong Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For Internal use only Acknowledged, and adding the main coverage team here. We'll be back to you. From: Michael Valencia On Behalf Of kyc outreachteam Sent: Wednesday, November 09, 2016 5:00 PM To: Vahe Stepanian Subject: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For Internal use only Dear Vahe, Please acknowledge within 24hrs and/or complete within 48hrs: In accordance with Deutsche Bank's ongoing 'Know Your Client' [KYC1 requirements, I am writing to you in relation to completing a KYC review for the below entity: Southern Financial, LLC - Internal DB Ref: [10074068121 Client On-boarding (COB) was able to complete a percentage of the KYC Regular Review from existing records as well as information from approved public sources, however, there is still some information which we require from yourself or from the client. Please refer to the below questions and respond to the best of your knowledge. N.B. A delay in response will result in escalation to Regional Business Leads and may initiate account closure proceedings. If you received this message in error and ore not the oppropriote contact person pleose advise, and if known, provide on appropriate contact person for this client. Client Contact information Sales Response 1. Please provide the following details of a client contact to whom we can reach out to for KYC documentation: CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0062866 SDNY_GM_00209050 EFTA01370208