EFTA Document EFTA01410705

Subject: RE: Southern Financial [I] From: Vahe Stepanian Date: Fri, 28 Aug 2015 14:23:12 -0400 To: Roddy Moore < Ariane Dwyer Cc: Daniel Sabba Troy-D Williams >, Classification: For internal use only Ok, Daniel will reach out to him upon his return the following week. I'll be on my MTA. From: Roddy Moore Sent: Friday, August 28, 2015 2:04 PM To: Vahe Stepanian; Ariane Dwyer Cc: Daniel Sabba; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only Note that Troy is out next week. From: Vahe Stepanian Sent: Friday, August 28, 2015 1:46 PM To: Roddy Moore; Ariane Dwyer Cc: Daniel Sabba; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only Roddy — the below is part of a broader conversation that needs to take place upon Daniel's return. Please send us a few times that you and Troy are available to meet with Daniel and I next week. EFTA01410705 Thank you, Vahe From: Roddy Moore Sent: Friday, August 28, 2015 1:29 PM To: Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only The market has corrected the issue of the client being over 50% on his AAPL if that's what you're worried about. I just want to fix the problem with the acct set up. Why are we waiting on Daniel to provide the KYC and SIC code? It seems like something that he'd delegate to you anyway. From: Ariane Dwyer Sent: Friday, August 28, 2015 12:52 PM To: Roddy Moore Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only Let's touch base when Daniel's back. From: Roddy Moore Sent: Friday, August 28, 2015 9:34 AM To: Roddy Moore; Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] EFTA01410706 Classification: For internal use only Where are you at with the below? From: Roddy Moore Sent: Thursday, August 27, 2015 2:57 PM To: Ariane Dwyer Cc: Daniel Sabba; Vahe Stepanian; Troy-D Williams Subject: RE: Southern Financial [I] Classification: For internal use only We're trying to figure out the disconnect on the collateral monitoring. Apparently, the back office has not been able to set up the collateral accts properly in the system, because you haven't sent them the KYC and SIC code for them to do so. The KYC should be easy. If you don't know the SIC or where to get it from, then you should start with Ellenoi to see how they handle it on the STG side. Since they've been unable to get this info, they've been trying to manage this manually, which clearly is not working. They say that there are more than one name that has the same problem. Have you guys tried to make any headway on this? From: Ariane Dwyer Sent: Tuesday, August 25, 2015 4:13 PM To: Roddy Moore Cc: Daniel Sabba; Vahe Stepanian Subject: RE: Southern Financial [I] Classification: For internal use only Thanks Roddy. As discussed the client has approved a transfer of AAPL shares to meet today's margin call. We will address the issue with the incorrect haircut rate on AAPL next week when Daniel is back. From: Roddy Moore EFTA01410707 Sent: Tuesday, August 25, 2015 3:59 PM To: Ariane Dwyer Subject: Southern Financial [I] Classification: For internal use only Taking 50% on AAPL as we agreed, there would be a $2,735,000 shortfall including today's call. If we wants to cover with more AAPL, then he'd need to bring over twice that amount (i.e. $5,470,000). Roddy Moore Credit Risk Management Deutsche Asset & Wealth Management EFTA01410708