EFTA Document EFTA01401823

Subject: RE: Southern Financial - KYC Docs. [C] From: Saba Hussain ‹ > Date: Wed, 11 Apr 2018 10:14:35 -0400 To: Zack Bunimovich Martin Zeman Nina Tona Anthony Lentini Cc: FATCA Outreach Classification: Confidential Hi Zack, As the outreach team we have a set of client data where we are required to reach out to the client for missing FATCA documents. At the time when the attached emails were sent, it was only necessary to obtain a W-Form in order to suffice our requirements. However this does not mean that the bank would not require any additional or other documentation from the client in the future. I have also checked with the CRS outreach team and unfortunately they do not have a form on hand for this client. The client has been marked as unresponsive to the outreach communication sent so far. Kind regards, Saba Hussain {https://brandportal.intranet.db.com/img/modules/logo.gif} Saba Hussain Associated Client Outreach COO Global Markets Operations Deutsche Bank Birmingham 5 Brindley Place, Birmingham, United Kingdom, B1 2.76 EFTA01401823 Tel. +44 121 4078312 Email From: Zack Bunimovich Sent: 10 April 2018 19:14 To: Martin Zeman ; Nina Tona Outreach ; Anthony Lentini Subject: RE: Southern Financial - KYC Docs. [C] Classification: Confidential Hi FATCA Outreach team, We are currently in the middle of a swaps extension for Southern Financial and the KYC team is asking for a CRS Self Cert per their usual process. Can you please advise why you stated this was not necessary within the attached emails? Thanks, Zack From: Martin Zeman Sent: Tuesday, April 10, 2018 1:28 PM To: Zack Bunimovich <ffi; Nina Tona Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Zack See the attached email chain where we established that a FATCA form was not needed. EFTA01401824 Martin From: Zack Bunimovich Sent: Monday, April 09, 2018 11:47 AM To: Martin Zeman < >; Nina Tona e > Subject: FW: Southern Financial - KYC Docs. [I] Classification: For internal use only Hey Martin / Nina, Southern Financial is with Verification but they noticed that we do not have a CRS Self Certification form on file anymore from previous onboardings. We are usually looking for something similar to the attached format, but it's possible that the client has provided this before and has their own template. Can this be requested from the client? Thanks, Zack From: Anthony Lentini Sent: Monday, April 09, 2018 10:51 AM To: Zack Bunimovich e > Subject: Southern Financial - KYC Docs. [I] Classification: For internal use only Hi Zack, EFTA01401825 An update on Southern Financial, it is with Verification and they are reviewing right now. While they were going through their review they noticed that the CRS Self Cert file from a previous onboarding is no longer on file/- in the system. Could you please send over a new CRS Self Cert so they can proceed with their review? Apologies for the inconvenience. Kind Regards, fcid:1 [email protected] Anthony Lentini Client Data Services I COO DBUSA Core Corp. 5201 Gate Parkway Jacksonville FL32256 Tel.: (- E-mail: inute delay NA EFTA01401826