EFTA Document EFTA01435179

Subject: RE: Please fill out -> CRS + UK FATCA form [C] From: Stewart Oldfield ‹ > Date: Wed, 18 Apr 2018 10:49:23 -0400 To: Martin Zeman Richard Kahn Cc: "Paul Barrett ( Liam Osullivan Xavier Avila Davide-A Sferrazza Rich, just circling back on this. Happy to hop on a call to discuss if necessary. Thanks From: Martin Zeman Sent: Tuesday, April 17, 2018 10:32 AM To: 'Richard Kahn' Cc: 'Paul Barrett ( )' Avila >; Liam Osullivan avier ; Davide-A Sferrazz Stewart Oldfield Subject: Please fill out -> CRS + UK FATCA form [C] Classification: Confidential Richard, I am following up on my email from last week. We are extending Southern Financial LLC to be able to trade credit derivatives as well as equity derivatives. Would you please kindly fill out the attached form and return? Also, would you please respond by confirming the date of birth for Darren and yourself as well as the nature of business for Southern Financial LLC: Date of Birth for the Legal Reps o Darren K. Indyke o Richard Kahn ■ EFTA01435179 Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes and trading strategies. Thanks Martin From: Martin Zeman Sent: Wednesday, April 11, 2018 12:14 PM To: 'Richard Kahn' < Cc: 'Paul Barrett ; Liam Osullivan Avila Stewart Oldfield Subject: CRS + UK FATCA form [C] Classification: Confidential Richard, Davide-A Sferrazza We are working on extending Southern Financial to trade Equity and also Credit Derivatives. Our Verification team noticed that we are missing this one form (attached) to complete the file. The reason we need this is because for the OTC products you are facing DBAG London. Are you able to fill this out and return please? Thanks Martin Icid:[email protected] EFTA01435180 Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email 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. EFTA01435181