EFTA Document EFTA01368246

Anthony Lentini From: Liam Osullivan Sent Friday, March 30, 2018 10:32 AM To: Zack Bunimovich; Nina Tona; Xavier Avila; Martin Zeman; Rita Shteynberg Cc: Mathew Negus; Alastair Mackinlay; Davide-A Sferrazza; Anthony lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [CI [I] Attachments: Southern Financial Operating Agreement.pdf Zack, Richard is on the board of Southern Trust Co. Southern Trust Co. is the sole member of Southern Financial LLC. The first page of the attached lays out the relationship between Southern Trust Co. and Southern Financial LLC. The 16th page named Richard as member of the board of'Sourhem Trust Co. Thanks Liam Sent with BlackBerry Work (www.blackberry.com) From: Zack Bunimovich Date: Friday. Mar 30 2018 9:13 AM To: Nina Tona Xavier Avila Martin Zeman Rita Shte> nberg Cc: Liam Osullivan , Math w N , Alastair Mackinlay Davide-A Sferrazza , Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivativeslconvertible bonds onboarding ICI Ill Classification: For Internal use only Hi Nina, Can you clarify the relationship between Richard Kahn at HBRK Associated and Southern Financial? To the KYC team this note from Richard can seem like a random associate from a different firm is confirming information for Southern. Additionally the team will need confirmation that Richard is an authorized signatory, on the board for Southern, a C- suite executive, or within the Legal department? Thanks, Zack From: Nina Tona Sent: Thursday, March 29, 2018 11:23 AM 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059915 CONFIDENTIAL SDNY_GM_00206099 EFTA01368246