EFTA Document EFTA01374227

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 PurrinoV Pewronst. 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 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal use only Dmitri- Can you tell us why this is taking so long? It's been with AML with several weeks now, correct? Courteney Fomal Global Markets Complex Eel" Deutsche Bank Securities Inc. 60 Wall Street New York. NY 10005-2836 Posciol4g. PeepooK cDisclaimer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068814 CONFIDENTIAL SDNY_GM_00214998 EFTA01374227