EFTA Document EFTA01371648

From: Martin Zeman Sent: 4/26/2018 5:46:19 PM To: 'Richard Kahn' CC: 'Paul Barrett' avide-A Sferrazza 'Jeanne Brennan' Subject: RE: Please fill out -> CRS + UK FATCA form [CI Richard, Liam Osullivan Xavier Avila Stewart Oldfield 'Darren Indyke' Thank you for your response from last week. Our verification team would like you to confirm the nature of business for Southern Financial LLC. A simple "confirmed" will suffice please. Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes and trading strategies. Thank you Martin Martin Zeman Director I Key Client Partners Deutsche Bank Weakh Management DB Securities Inc 345 Park Avenue 10154-0004 New York. NY. USA KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the F1NRA Rule 4512(C%3). and who are 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 are subject to relevant internal approvals of DBS? or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only. and strictly on a non- advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction andror redistribution thereof (in whole or in pan) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DB& or any of its affiliates. From: Richard Kahn Sent: Thursday, April 19, 2018 9:30 AM To: Martin Zeman Cc: Paul Barrett Davide-A Sferrazza - Jeanne Brennan Subject: Re: Please fill out -> CRS + UK FATCA form [C] Liam Osullivan Xavier Avila Please correct DOB as follows: thank you Stewart Oldfield Darren Indyke CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065125 CONFIDENTIAL SDNY_GM_00211309 EFTA01371648