RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [II (Jimmy-H Xu, Apr 16, 2018)Southern Financial Rates trade details for booking II (Martin Zeman, January 12, 2018)
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EFTA Document EFTA01356962
Title Matchefta-efta01356962
Case Filesd-10-EFTA01356962Dept. of JusticeEFTA Document EFTA01356962
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Case File
sd-10-EFTA01356962Dept. of JusticeEFTA Document EFTA01356962
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Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 Client Name: Southern Financial, LLC We have got your name as a sales person from Summit application. We have observed that the client is not adopted for Frankfurt location, which results in a KYC violation. In order to comply with DB's internal policies and procedures, all KYC requirements now have to be fulfilled, if the trade should stand against Deutsche Bank Kindly review your trade and where possible, please consider to rebook the
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Dept. of Justice
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sd-10-EFTA01356962
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1
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