EFTA Document EFTA01362902

To: Martin Zema >; Nina Tona Aiasha Khokhar Cc: Liam Osullivan ; Davide-A Sferrazza < Subject: RE: Southern Financial - KYC Docs. (I) Classification For internal use only Hi Aiasha, Xavier Avila I was told you would be able to assist with the below questions Southern Financial had about our CRS form. Can you take a look? Martin — I will see if this confirmation from Richard works... Thanks, Zack From: Martin Zeman Sent: Thursday, April 19, 2018 10:54 AM To: Zack Bunimovich Cc: Liam Osullivan cL ;Joshua Shoshan Subject: RE: Southern Financial - KYC Does. DJ Classification: For Internal use only Zack, >; Nina Tona vide-A Sierra ; Xavier Avila See attached the FATCA + CRS form. Three follow-up questions from the client: 1. Can we clarify the definition of 'Active NFE — other' versus 'Passive NFE' under Part 2 (b). The definition is not very clear to the client. They believe they are 'Active NFE — other' but want clarification 2. Can you say what happens with the information in this form? What does DB do with it and who is it reported to? 3. Do US Virgin Islands also fall under this reporting requirement? On the other points, note the DOB of their legal reps are: Darren Indyk Richard Kah (see confirmation of this in the attached email from Richard Kahn) Thanks Martin From: Zack Bunimovich Sent: Wednesday, April 11, 2018 5:50 PM To: Martin Zeman >; Nina Tona Subject: RE: Southern Financial - KYC Docs. (lj Classification For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052586 CONFIDENTIAL SONY GM_00108770 EFTA01362902