EFTA Document EFTA01370669

From: Martin Zeman Sent: 4/11/2018 12:13:54 PM To: 'Richard Kahn' CC: 'Paul Barrett (I ; Xavier Avila Stewart Oldfield Subject: CRS + UK FATCA form ICI Attachments: CRS + UK FATCA Entity Self Cert.pdf Classification: Confidential Richard, ; Liam Osullivan Davide-A Sferrazza I r; We are working on extending Southern Financial to trade Equity and also Credit Derivatives. Our Verification team noticed that we are missing this one form (attached) to complete the file. The reason we need this is because for the OTC products you are facing DBAG London. Are you able to fill this out and return please? Thanks Martin Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 1 54-0004 New York. NY, USA Tel. Mobile Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the F1NRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks ot and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of OBS/ or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products investment ideas and solutions and related matters discussed herein are provided for discussion purposes only. and strictly on a non- advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction andror redistnbution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of 0881 or any of ifs affiliates. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0063633 CONFIDENTIAL SDNY GM_00209817 EFTA01370669