EFTA Document EFTA01373358

Michael — Here is the latest e-mail from the business. Please let me know if you have been able to reach Ted Gonedes on this matter. In addition, I cc'd you on an e-mail I sent to WM recommending that this matter be discussed at the Americas Rep Risk Committee. However, I have not heard back from WM. Would you mind if I told Courtney that neither you nor I are comfortable from a Rep Risk perspective and asked you to reach out to Ted for his view on this matter. Let me know. Kind Regards, Wayne Salit From: Dmitri Saks Sent: Monday, January 05, 2015 12:01 PM To: Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastasia Pringle Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Courtney, This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because of the Holiday schedule. Thanks and regards, Dmitri Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: Poswift,10. Merton- From: Courteney B Fornal Sent: Monday, January 05, 2015 10:37 AM To: Dmitri Saks; Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LICYCUS-3443 Party name : Southern Financial LLC [I] CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0067490 CONFIDENTIAL SDNY_GM_002 13674 EFTA01373358