EFTA Document EFTA01401858

Subject: RE: Southern Financial From: Nina Tona Date: Mon, 16 Apr To: Xavier Avila Martin Zeman Davide-A Sferrazza Liam Osullivan - KYC 400 Classification: For internal use only Docs. [I] Xavi — the below info was provided, however Martin needs to get confirmation from client that the info we provided is correct. @Martin — were you able to get the confirmation? Thank you Nina Tona KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA 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 DBSI 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 and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding EFTA01401858 obligation on the part of DBSI or any of its affiliates. From: Xavier Avila Sent: Sunday, Apr To: Martin Zeman A Sferrazza ; Nina Tona ; Liam Osullivan Subject: RE: Southern Financial - KYC Docs. [I] Martin, ; Davide- I discussed the Credit Option when I called Paul with Gaurang again on Thursday and Paul showed dissatisfaction with the fact that he could not still trade the credit trades. Martin/Nina, Can we make sure we keep pushing on this? Thanks From: Martin Zeman Sent: Thursday, April 12, 2018 9:08 AM To: Nina Ton Davide-A Sferrazza Osullivan Subject: FW: Southern Financial - KYC Docs. [I] Liam/David, ; Xavier Avila Can you see if we have this and if not pls ask Richard Kahn (cc Stewart also). I emailed him yesterday for the Fatca doc so you can just follow on that email chain. EFTA01401859 Martin From: Zack Bunimovich Date: Wednesday, Apr 11, 2018, 17:49 To: Martin Zeman Nina Tona Subject: RE: Southern Financial - KYC Docs. [I] Hi Martin, Verification asked for two more points of information — see below. DOB for the Legal Reps o Darren K. Indyke o Richard Kahn Clarification of the NOB. o The NOB provided in the Articles of Organization and Operating Agreement is too vague. Please provide more detailed explanation of NOB. Thanks, Zack From: Martin Zeman Sent: Tuesday, April 10, 2018 1:28 PM EFTA01401860 To: Zack Bunimovich 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. Martin From: Zack Bunimovich Sent: Monday, April 09, 2018 11:47 AM To: Martin Zeman Nina Tona 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 EFTA01401861 From: Anthony Lentini Sent: Monday, April 09, 2018 10:51 AM To: Zack Bunimovich Subject: Southern Financial - KYC Docs. [I] Classification: For internal use only Hi Zack, 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, {cid:1 [email protected]} Anthony Lentini Client Data Services I COO DBUSA Core Corp. 5201 Gate Parkway Jacksonville FL32256 EFTA01401862 EFTA01401863