EFTA Document EFTA01358150

tvnanda Forwarded by on 08/12/2013 05:37 PM From: To: Date: 06/12/2013 10:58 AM subject: Fw: RDC Alert :--southern Financial LLC (I] Classification: For internal use only Hi, Please approve clearance for these alerts. These alerts do not pertain to our client. Our client, Southern Financial LLC was incorporated in 2013 in the US Virgin Islands. These alerts all occurred before 2013 and in the Continental US Kind regards, Amanda Kirby (Embedded image moved to file: pic31622.gif) Amanda Kirby Associate Deutsche Asset & Wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. Fax Email securities offered throw h Deutsche Bank securities Inc. Forwarded by on 06/12/2013 10:56 AM From: To: Cc: Date: 05/29/2013 12:33 PM Subject: RDC Alert :--Southern Financial LLC [I] Classification: For internal use only Hi Armanda Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045551 CONFIDENTIAL SDNY_GM_00191735 EFTA01358150