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sd-10-EFTA01358493Dept. of JusticeOther

EFTA Document EFTA01358493

Managing Director Deutsche Bank Securities Inc Mobil • Email On Mar 5, 2018, at 15:09, Martin Zeman wrote: Classification: For internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman Zack Bunimovich Avila C; Rita Shteynberg ; Jitan Patel Cc: Alastair Mackinlay

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sd-10-EFTA01358493
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Managing Director Deutsche Bank Securities Inc Mobil • Email On Mar 5, 2018, at 15:09, Martin Zeman wrote: Classification: For internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman Zack Bunimovich Avila C; Rita Shteynberg ; Jitan Patel Cc: Alastair Mackinlay

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Managing Director Deutsche Bank Securities Inc Mobil • Email On Mar 5, 2018, at 15:09, Martin Zeman wrote: Classification: For internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman Zack Bunimovich Avila C; Rita Shteynberg ; Jitan Patel Cc: Alastair Mackinlay Davide-A Sferrazza Mathew Negus Subject: RE: SF [I Mathew Negus Xavier Classification: For Memel use only Martin - Please confirm we don't need SF to be extended for anything else besides credit derivatives and the products already onboarded. Thank you Nina Tona From: Zack Bunimovich Sent: Monday, March 05, 2018 12:58 PM To: Xavier Avila ; Rita Shteynberg Mathew Negus Cc: Alastair Mackinlay A Sferrazza Subject: RE: SF [I] Classification: For inbrttal use only Hi Xavier, ; Martin Zeman ; Davide- Mathew Negus ; Nina Tona Nothing else is needed from your end at the moment. I will send this request to the KYC team for review and then setup. Can you confirm Credit Derivatives is the only necessary extension? I know Convertible Bonds were also in the discussion. I see the BR 1007494283 set up for a decent amount of products already. See below. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046337 CONFIDENTIAL SDNY_GM_00 192521 EFTA01358493

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Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timeframe to give him. Thanks Xavier Avila Managing Director Deutsche Bank Securities From: GM ACO <S..> Date: Thursday, Mar 01 2018. 15:09 To: Xavier Avila lain Macara an Patel , Mathew Negus ter GM ACO > agail4 , Davide-A Sferrazza • Alastair Mackinlav , Martin Zeman Cc: Nina Tona Subject: RE: SF [1] Classification: For Internal urns only Hi Xavier I've reached out to

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Davide-A Sferrazza •* ; Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding ICJ Zack/Nina, what is the latest on SF KYC/Extension to Credit Derivs? Thanks Xavier Avila Managing Director Deutsche Bank Securities Inc From: Martin Zeman Date: Thursday. Mar I Lau, To: Zack Bunimovich Shtcynbe , Nina Tona Liam Osullivan , Alastair Mackinlay , AnthonyLcntini Subject: RE: Southern Financial LLC - KYC and credit derivatives/conve

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