EFTA Document EFTA01358149

From: on behalf of Sent: To: CC: Subject: Attachments: Andrew Kisz PWMUS AMLKYC 8/13/2013 1:52:31 PM Amanda Kirby PWMUSAMLKYC ; Jacqueline Lightbody CLEARED Southern Financial LLC (I] pic20116.gif; pic09847.gif; pit31622.gif; Southern Financial LLC_RDC Alert9.pdf; Southern Financial LLC_RDC Alertl.pdf; Southern Financial LLC_RDC Alert7.pdf; Southern Financial LLC_RDC Alert6.pdf; Southern Financial LLC_RDC Alertl.pdf; Southern Financial LLC_RDC Alert4.pdf; Southern Financial LLC_RDC Alert3.pdf; Southern Financial LLC_RDC Alertl.pdf; Southern Financial LLC_RDC Alertl.pdf; Southern Financial LLC_RDC Alert.pdf Classification: For internal use only Hi Amanda, AML Compliance has reviewed the alert dated 5/29/2013 pertaining to our perspective client, southern Financial LLC. According to the business, our perspective client, southern Financial LLC was organized in 2013 in the US virgin Islands. The RDC alerts all occurred prior to the incorporation of our client, and refer to companies located in North carol i na , south Carolina, Virigina, and Florida. Additionally, the companies in the alerts are all corporations whereas our perspective client is a limited liability company. Accordingly, AML compliance CLEARS these alerts as false positives. Best regards, Andrew 3. Kisz (Embedded image moved to file: pic20116.gif) Andrew 3. Kisz Associate I Mt compliance officer 08 Services New Jersey, Inc. Asset & wealth management 5022 'te 400, 32256 Jacksonville, USA Tel. Email (Embedded image moved to file: pic09847.gif) From: To: Cc: Date: Subject: Amanda Kirby/db/dbcom PWMUS AMLKYC/db/dbcomelOBAmericas, Andrea Klingenberg/db/dbcom008AMERICAS 08/12/2013 05:38 PM Fw: ROC Alert :--Southern Financial LLC [I] classification: For internal use only Hi, I realized I never heard back for the below clearance approval. Please let me know as soon as possible as we are now moving ahead with this client and would like to open accounts ASAP. Thank you, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045550 CONFIDENTIAL SDNY_GM_00191734 EFTA01358149