EFTA01406687

Subject: RE: N4G-026161 - Southern Financial [C] From: Cynthia Rodriguez Date: Thu, 22 Feb 2018 13:38:36 -0500 To: Davide-A Sferrazza Classification: Confidential Feel free to stop by now. You would have to run fresh searches and I can show you how J Super easy and takes like 5mins Kind regards, Cynthia Rodriguez fcid:image001.png@OlD0778D.2D49CDD01 Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA From: Davide-A Sferrazza Sent: Thursday, Februar 22, 2018 1:36 PM To: Cynthia Rodriguez Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential Just for Southern Financial. EFTA01406687 Whenever you have a moment, do you mind if I stop by so you can show me where you pull them from? Thanks! From: Cynthia Rodriguez Sent: Thursday, February 22, 2018 1:35 PM To: Davide-A Sferrazza Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential Yes they are. Do you need them for just southern financial? Kind regards, Cynthia Rodriguez {cid:image001.png@OlD0778D.2D49CDD0} Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA EFTA01406688 From: Davide-A Sferrazza Sent: Thursday, February 22, 2018 1:31 PM To: Cynthia Rodriguez Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential I should have access to anything that is tagged as KCP Eligible, but for some reason I can't see KYC docs for Southern Financial. Are the PCR and RDC docs on there as well? Thanks, Davide From: Cynthia Rodriguez Sent: Thursday, February 22, 2018 1:26 PM To: Davide-A Sferrazza Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential Hi Davide, Do you have DB Force? Kind regards, Cynthia Rodriguez EFTA01406689 {cid:image001.png@OlD0778D.2D49CDD0} Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA From: Davide-A Sferrazza Sent: Thursday, February 22, 2018 1:19 PM To: Cynthia Rodriguez •flil Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential Hi Cynthia, We are being asked for some documentation for Southern Financial LLC's OTC collateral set up, as follows: KYC (we have this from your email below) PCR — "Preventative Crime Research" RDC — "Regulatory Data Corp" I am not familiar with PCR and RDC — is this something that you are familiar with/have access to? Happy to hop on the phone to discuss! EFTA01406690 Thank you, Davide From: Cynthia Rodriguez Sent: Thursday, Januar 11, 2018 4:08 PM To: Stewart Oldfield >; Zbynek Kozelsky Cc: Liam Osullivan Davide-A Sferrazza ; Joshua Shoshan Subject: RE: N4G-026161 - Southern Financial [I] Classification: For internal use only Hi Ziggy, See attached. Thanks. Kind regards, Cynthia Rodriguez fcid:image001.png@OlD0778D.2D49CDD01 Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA EFTA01406691 From: Stewart Oldfield Sent: Thursday, January 11, 2018 4:05 PM e le To: ZbnekKozelsl ; Cynthia Rodriguez Cc: Liam Osullivan ; Davide-A Sferrazza ; Joshua Shoshan Subject: RE: N4G-026161 - Southern Financia Copying Cynthia. Thanks From: Zbynek Kozelsky Sent: Thursday, Januar 11, 2018 3:41 PM To: Stewart Oldfield Cc: Liam Osullivan Joshua Shoshan Subject: N4G-026161 - Southern Financial Hi Stew, ; Davide-A Sferrazza Zbynek Kozelsky The above account is collateral one and DBOI is setting it up to feed into the "LS2" system (I am told it tracks loans/collateral). For them to set that up they need the PB KYC — please send that to me. Thanks! Ziggy EFTA01406692 {cid:image003.png@O1CFFD0A.6F882F50} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Investment Solutions Group US & Latin America Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. EFTA01406693