EFTA Document EFTA01363050

From: Xavier Avila Sent: Monday, April 16 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker < ; NCAOTC Derivatives ; Pankaj-A Chopra opata ; Nina Tona Ian Salte ; Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHF1NANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Thanks Xavier Avila Managing Director " ies Inc From: Akash Malhotra Date: Monday: Apr 16, To: Xavier Avila < Cc: Shawn Staker < Derivatives >, a opa a Subject: KYC Brcach_SOUTHFINANMD_Southcm Financial. LLC_FFT Location III Classification: For Internal use only Hi Alex, Pankaj-A Chopra For adoption location Frankfurt, the following trade has been booked in Summit application for OTC Derivative Product, details as follows: Trade ID: G175714L Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 Client Name: Southern Financial, LLC We have got your name as a sales person from Summit application. We have observed that the client is not adopted for Frankfurt location, which results in a KYC violation. In order to comply with DB's internal policies and procedures, all KYC requirements now have to be fulfilled, if the trade should stand against Deutsche Bank Kindly review your trade and where possible, please consider to rebook the trade to an adoption location, where the client is already adopted for OTC Derivative product or confirm if it is a valid trade for the particular location. Upon your confirmation, we will review the client and would request the missing documents to be obtained from the client/business as per Frankfurt location guidelines. Summit screenshot: Trade Details Trade 'ape Tra ID Vusion SutTrpe &yarded SHNP I G1757141 5 CCISMAP 13E0412015 Sags Vented Book LAG SLOPS Drupe( Currency Currency par Coral Canary Custorte US:DEUR CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0052898 SDNY_GM_00199082 EFTA01363050