EFTA Document EFTA01373947

Courteney Fomal Global Markets Complex Equity Deutsche Bank Securities Inc 60 Wall Street New York. NY 10005-2836 Direct Desk Fax + Emal Pasin,itr gerwm, eDisclaiincr lutp://orin.theocc.comipublicationshisks/risksioc.pdf From: Dmitri Saks Sent: Monday, January 05, 2015 10:33 AM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; Courteney B Fornal; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal use only Hi Anastasia, Yes, it is still pending. I should be able to provide a more definite answer tomorrow. Thanks and regards, Dmitri Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: Pasift,ofu gerooli. From: Anastasia Pringle Sent: Monday, January 05, 2015 10:27 AM To: Dmitri Saks; Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0068396 CONFIDENTIAL SDNY_GM_00214580 EFTA01373947