EFTA Document EFTA01406824

Subject: RE: Southern Financial - KYC Docs. [I] [C] From: Nina Tona ‹ > Date: Thu, 12 Apr 2018 09:45:42 -0400 To: Liam Osullivan Martin Zeman Davide-A Sferrazza Xavier Avila Classification: Confidential 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 obligation on the part of DBSI or any of its affiliates. From: Liam Osullivan Sent: Thursday, April 12, 2018 9:42 AM To: Martin Zeman ; Nina Tona A Sferrazza ; Xavier Avila Subject: RE: Southern Financial - KYC Docs. [I] [C] EFTA01406824 Classification: Confidential 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. Private investment vehicle; allocates capital across various asset classes and trading strategies. From: Martin Zeman Sent: Thursday, April 12, 2018 9:08 AM To: Nina Tona -A Sferrazza - ; Liam 0sullivan ; Xavier Avila •ca Subject: FW: Southern Financial - KYC Docs. [I] Liam/David, 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. EFTA01406825 Martin From: Zack Bunimovich c > Date: Wednesday, Apr 11, 2018, 17:49 To: Martin Zeman <MI >, Nina Tona ‹ > Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only 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 EFTA01406826 From: Martin Zeman Sent: Tuesday, April 10, 2018 1:28 PM 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 a; 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, EFTA01406827 Zack 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, fcid:1 [email protected] Anthony Lentini Client Data Services I COO DBUSA Core Corp. 5201 Gate Parkway Jacksonville FL32256 EFTA01406828 Tel.: E-mail: EFTA01406829