EFTA Document EFTA01362523

- Annual report r≥ See attachments "Southern Financial LLC Financials June 2017" and "Southern Trust Company Inc. Financials June 2017" for latest financial statements Thank you Nina Tona From: Zack Bunimovich Sent: Tuesday, March 13, 2018 11:16 AM To: Martin Zeman < Cc: Nina Tona ; Jitan Patel < A Sferrazza <davide- Subject: RE: SF [I] ICJ Classification: Confidential Hi Martin, >; Xavier Avila < ; Rita Shteynberg >; Mathew Negus >; Alastair Mackinlay < >; Anthony Lentini < ; Davide- I just received the finalized KYC review yesterday. Even though the entity is opened for other products, it is outside of its KYC review date and is triggering a high risk rating. In order to approve the account, the team will need the following: - Ownership - Broken down to 10% (Org chart with %'s of ownership or confirmation from Senior Client Rep explaining the ownership breakdown) Legal Reps — Identify and Verify UBO's - Identify and Verify Source of Funds — Identification & Verification (Annual Report) Source of Wealth — Identify and Verify - Client Contact for Patriot Act disclosure email Formation Document (Cert of Incorp, etc) - Nature of Business Doc Thanks, Zack From: Martin Zeman Sent: Monday, March 12, 2018 10:19 AM To: Zack Bunimovich Cc: Nina Tona A Sferrazza Subject: RE: SF [I] [C] Zach Price Classification: Confidential Morning Zack, >; Xavier Avila >; Mathew Negus Alastair Mackinlay We haven't heard back from you on Friday. Can you let us know what the timeline looks like today please? Thanks, Martin Davide- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051965 CONFIDENTIAL SDNY GM_00198149 EFTA01362523