EFTA Document EFTA01363052
From: Sent: To: CC: Mash Malhotra 4/17/201810:19:48 AM Nina Tona Xavier Avila Joe Aglione NCAOTC Derivatives Mathew Negus Ian Salters Jimmy-H Xu • Pan a•-AC o ra Martin Zeman ; Atka Gopala Subject: RE: KYC Breach SOuTHFINANMD_Southem Financial, LI.C_FFT Location Classification: For SKS use only Hi Xavier, The trade is still reflecting under FFT location. Request you to action and confirm Trade Type Trade ICI Vanim SubType Amended t Spew Bock B Currency C Coe Metal COM
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From: Sent: To: CC: Mash Malhotra 4/17/201810:19:48 AM Nina Tona Xavier Avila Joe Aglione NCAOTC Derivatives Mathew Negus Ian Salters Jimmy-H Xu • Pan a•-AC o ra Martin Zeman ; Atka Gopala Subject: RE: KYC Breach SOuTHFINANMD_Southem Financial, LI.C_FFT Location Classification: For SKS use only Hi Xavier, The trade is still reflecting under FFT location. Request you to action and confirm Trade Type Trade ICI Vanim SubType Amended t Spew Bock B Currency C Coe Metal COM
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EFTA Document EFTA01406842
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] From: Mathew Negus Date: Mon, 16 Apr 2 To: Xavier Avila Akash Malhotra Cc: Shawn Staker NCAOTC Derivatives Pankaj-A Chopra Alka Gopala Nina Tona Ian Salters Martin Zeman Classification: For internal use only I would re-book to London if the desk agrees. From: Xavier Avila Sent: Monday, April 16, 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker ; NCAOTC Derivatives an aj Chopra Alka • Nina Tona Ia
EFTA Document EFTA01406845
Subject: RE: KYC Breach SOUTHFINANMD Southern From: Mathew Negus Date: Tue, 17 A r 2018 07:10:33 -0400 To: Jimmy-H Xu Xavier Avila Akash Malhotra Cc: Joe Aglione Ian Salters Nina Tona Pankaj-A Chopra NCAOTC Derivatives Martin Zeman Alka Gopala Financial, LLC_FFT Location [I] I'll check who should handle the product extension to FFT. I expect it will be the US team. Jimmy, FYI, I still see mostly London as the primary adoption location for OTC Derivs. Best, Mathew From: Jimmy-
EFTA Document EFTA01363021
From: Sent: Xavier Avila 4/16/2018 9:30:18 PM To: Jimmy-H Xu I ; Mathew Negus I I; Akash Malhotra CC: Joe Aglione I; Ian Salters I ; Pankaj-A Chopra I ; NCAOTC Derivatives I; Martin Zeman I ; Alka Gopala Subject: RE: KYC Breach SOUTHFINANMD_Southem Financial, LLC_FFT Location [Ij Done, thanks. Are all the XCCYs generally booked and clients KYCed in DB AG FFT? What about EUR and GBP vanilla and inflation swaps? We might have some of those coming. Mat/Nina, who can help us wi
EFTA Document EFTA01362995
From: Sent: To: CC: Nina Tona 4/17/2018 8:32:04 AM Mathew Negus immy-H Xu ; Xavier Avila Akash Malhotra Joe Aglione Ian Salters Pankaj-A Chopra NCAOTC Derivatives ; Martin Zeman Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Classification: For Internal use only Mat — let me know if I can help you with this. Thank you Nina Tona KCP products and services ore intended and available only for persons who ore sophisticated institutional
EFTA Document EFTA01406890
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] From: Jimmy-H Xu Date: Mon, 16 Apr To: Xavier Avila Mathew Negus Akash Malhotra < Cc: Joe Aglione Ian Salters Nina Tona Pankaj-A Chopra NCAOTC Derivative Martin Zeman Alka Gopala < Classification: For internal use only Approved as one-off, but let's get the KYC done for FFT please Thanks Kind regards Jimmy {https://brandportal.intranet.db.com/img/modules/logo.gif} Jimmy-H Xu Cross Currency Swap Trad
EFTA Document EFTA01356960
We will need most of our clients trading XCCY business...so lets see how difficult this is. O3 we suddently stuck with basic DB AG London adoptions. Can we have anoher call rhis thursday to go through some NAC thoughts and also the booking systems pls? Thanks From: Mathev. Ncgus Date: Tuesday, A r 17 2015 0R:10 To: Nina Tona c , Xavier Avila Cc: Ian Salters ii~i~~Martin Zeman Subject: RE: KTi W; STriTMI • NANMD_Southcm Financial, LLC_FFT Location II Classification: For internal use o
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