EFTA Document EFTA01406842

Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] From: Mathew Negus Date: Mon, 16 Apr 2 To: Xavier Avila Akash Malhotra Cc: Shawn Staker NCAOTC Derivatives Pankaj-A Chopra Alka Gopala Nina Tona Ian Salters Martin Zeman Classification: For internal use only I would re-book to London if the desk agrees. From: Xavier Avila Sent: Monday, April 16, 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker ; NCAOTC Derivatives an aj Chopra Alka • Nina Tona Ian Salters • Mathew Negus Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Thanks Xavier Avila Managing Director Deutsche Bank Securities Inc EFTA01406842 From: Akash Malhotra Date: Monday, Apr 16, 2018, 07:34 To: Xavier Avila Cc: Shawn Staker Gopala NCAOTC Derivatives Pankaj-A Chopra Alka Subject: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Classification: For internal use only Hi Alex, For adoption location Frankfurt, the following trade has been booked in Summit application for OTC Derivative Product, details as follows: Trade ID: G175714L Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 Client Name: Southern Financial, LLC We have got your name as a sales person from Summit application. We have observed that the client is not adopted for Frankfurt location, which results in a KYC violation. In order to comply with DB's internal policies and procedures, all KYC requirements now have to be fulfilled, if the trade should stand against Deutsche Bank EFTA01406843 Kindly review your trade and where possible, please consider to rebook the trade to an adoption location, where the client is already adopted for OTC Derivative product or confirm if it is a valid trade for the particular location. Upon your confirmation, we will review the client and would request the missing documents to be obtained from the client/business as per Frankfurt location guidelines. Summit screenshot: Trade Details {cid:[email protected]} Regards Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Emai Escalations Contact:- EFTA01406844