EFTA Document EFTA01406287

Subject: RE: N4G-026161 - Southern Financial [C] From: Davide-A Sferrazza Date: Thu, 22 Feb 2018 13:31:05 -0500 To: Cynthia Rodriguez Classification: Confidential I should have access to anything that is tagged as KCP Eligible, but for some reason I can't see KYC docs for Southern Financial. Are the PCR and RDC docs on there as well? Thanks, Davide From: Cynthia Rodriguez Sent: Thursday, February 22, 2018 1:26 PM To: Davide-A Sferrazza Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential Hi Davide, Do you have DB Force? Kind regards, Cynthia Rodriguez fcid:image001.png@OlD0778D.2D49CDD01 EFTA01406287 Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA From: Davide-A Sferrazza Sent: Thursday, February 22, 2018 1:19 PM To: Cynthia Rodriguez Subject: RE: N4G-026161 - Southern Financial [C] Classification: Confidential Hi Cynthia, We are being asked for some documentation for Southern Financial LLC's OTC collateral set up, as follows: KYC (we have this from your email below) PCR — "Preventative Crime Research" RDC — "Regulatory Data Corp" I am not familiar with PCR and RDC — is this something that you are familiar with/have access to? Happy to hop on the phone to discuss! Thank you, EFTA01406288 Davide From: Cynthia Rodriguez Sent: Thursday, Januar 11, 2018 4:08 PM To: Stewart Oldfield ; Zbynek Kozelsky Cc: Liam Osullivan Davide-A Sferrazza os ua os an Subject: RE: N4G-026161 - Southern Financial [I] Classification: For internal use only Hi Ziggy, See attached. Thanks. Kind regards, Cynthia Rodriguez {cid:image001.png@OlD0778D.2D49CDD0} Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA EFTA01406289 From: Stewart Oldfield Sent: Thursday, January 11, 2018 4:05 PM To: Zbynek Kozelsky Cynthia Rodriguez Cc: Liam Osullivan Davide-A Sferrazza os hua os an Subject: RE: N4G-026161 - Southern Financial Copying Cynthia. Thanks From: Zbynek Kozelsky Sent: Thursday, Januar 11, 2018 3:41 PM To: Stewart Oldfield Cc: Liam Osullivan Davide-A Sferrazza Joshua Shoshan Zbynek Kozelsky Subject: N4G-026161 - Southern Financial Hi Stew, The above account is collateral one and DBOI is setting it up to feed into the "LS2" system (I am told it tracks loans/collateral). For them to set that up they need the PB KYC — please send that to me. Thanks! Ziggy EFTA01406290 fcid:image003.png@O1CFFD0A.6F882F501 Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Investment Solutions Group US & Latin America Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 345 Park Avenue, 24th Floor New York, NY 10154 Tel. Email All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. EFTA01406291