EFTA Document EFTA01363025
Classification: For Internal use only Adding Nina in case Martin is OOO. Thanks, Zack From: Zack Bunimovich Sent: Thursday, May 17, 2018 3:45 PM To: ODC-Equities Account-Opening Jesse-J Cruz a> Cc: ODC FixedlncomeRepoECM >; Martin Zeman Subject: RE: Escalation: ONB-1135648 LINCGB-160049 Southern Financial LLC Classification: For Internal use only Hey Martin - do you have any confirmation details that can be used for downstream setups? See attached for the request. Maybe we can use
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Classification: For Internal use only Adding Nina in case Martin is OOO. Thanks, Zack From: Zack Bunimovich Sent: Thursday, May 17, 2018 3:45 PM To: ODC-Equities Account-Opening Jesse-J Cruz a> Cc: ODC FixedlncomeRepoECM >; Martin Zeman Subject: RE: Escalation: ONB-1135648 LINCGB-160049 Southern Financial LLC Classification: For Internal use only Hey Martin - do you have any confirmation details that can be used for downstream setups? See attached for the request. Maybe we can use
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EFTA Document EFTA01406921
Subject: RE: Escalation: / Southern Financial LLC [I] From: Zack Bunimovich Date: Fri, 18 Ma 2018 13:15:09 -0400 To: Nina Tona ODC-Equities Account-Openin Jesse-J Cruz Cc: ODC FixedlncomeRepoECM Martin Zeman Classification: For internal use only Hi Nina, I believe James was speaking about the AFC review for the account. Now that the AFC piece was approved, the account was able to move forward to the downstream operational setups. This is essentially the last part in the process.
EFTA Document EFTA01400073
Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] From: Nicholas Hislop Date: Tue, 22 May 2018 04:42:27 -0400 To: Kareen Johnson < Cc: Simon Nall < Martin Zeman Daniel-A Klyashtorny Nina Tona Xavier Avila Davide-A Sferrazza AMLUK Reviews Devshiji Odedra Ian Salters Ricky-x Patel Jesse-J Cruz Zack Bunimovich Jonathan Whittle James Gladwin Classification: For internal use only From what I can see in the audit, the profile was loaded, and has actu
EFTA Document EFTA01412389
MASTER PROFILE Legal Name Summary RDC Check Status Next Review Date CDD Entity Type Has RDC Screening been done? Deferral Flag Migration Date Entity/Legal Name KYCMode Not Alerted 20190503 Private Entity Yes No GMT Southern Financial, LLC Full Global Risk Southern Financial, LLC HIGH Master KYC Profile MASTER-57622 SRC Nexus No Last Review Date 03/05/2018 Entity Details Internal ID List Is Restricted Identifier SOUTHFIN LE Tax Details TaxID Type EIN Client Role
EFTA Document EFTA01357153
<imagc001.gir- fames Gladwin AFC Business Advisory Anti-Financial Crime DBOI Global Services (UK) Limited S Brindle Place, Birmin ham B1 21B, United Kingdom Emai mg Please consider the environment before printing this email From: Martin Zeman Sent: 08 May 2018 20:27 To: Zack Bunimovich AMLUK Reviews ;Jesse-J Cruz ; James Gladwin areen o nson ; Daniel-A Klyashtorny ; Nina Tona er Avila Davide-A Sferrazza Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC
EFTA Document EFTA01357151
a. KCP clients had migrated from dbCLIENT to dbCAR, potentially the migration did not complete correctly (this will continue to be investigated SEPERATELY to this Extension request) b. At the very first adoption of the client/extension to UK GM products, this was not correctly booked within our internal systems iv. Fixes to the dbCAR profile were discussed between Global CDS teams, of which the latter was chosen due to time constraints and the impact upon our first line colleagues; a.
EFTA Document EFTA01313943
Invoice Number: 4-580-35678 invoice Date: Feb 07.2003 Account Number: 2292.0750.4 Page: 1 o14 FedEx Tax to 71.0427007 NYSG LLC 457 MADISON AVE NEW YORK NY 10022.6843 Billing Account Shipping Address: NY SG LLC 457 MADISON AVE NEW YORK NY 10022-6843 US Invoke Summary Feb 07, 2003 Invoice Questions? Contact Fed Ex Revenue Services Phone: (800) 622-1147 M-F 7.6 (CST) Fax: (800) 548.3020 Internet: vnwtfedex.com FedEx Express Services Transponation Charges Special Handling C
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