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 Trading Deutsche Bank AG, Filiale London CB&S - Markets Winchester House, 1 Great Winchester Street, EC2N 2DB London, United Kingdom Tel. Mobile Email From: Xavier Avila [mailto: Sent: 16 April 2018 17:55 To: Mathew Negus ; Akash Malhotra EFTA01406890 Cc: Joe Aglione < > ; Ian Salters < Tona < .; Pankaj-A Chopra Derivatives <II IMMIS; artin eman Alka Gopala <IIIMMMIlli. Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Shawn, MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, Apr To: Xavier Avila ; Akash Malhotra ; NCAOTC Derivatives Gopala < ; Pankaj-A Chopra ; Nina Tona ; Martin Zeman < Su sec SOUTHFINANMD Classification: For internal use only I would re-book to London if the desk agrees. From: Xavier Avila Sent: Monday, April To: Akash Malhotra Cc: Shawn Staker Gopala < 16 2018 7:44 AM ; Nina NCAOTC ; Alka ; an a ters , LLC FFT Location [I] >; NCAOTC Derivatives ; •an aj- Chopra < >; Alka ; Nina Tona cr :-; Ian Salters ; Mathew Negus a; Martin Zeman Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I] EFTA01406891 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 Deutsche Bank Securities Inc From: Akash Malhotra Date: Monday, Apr 16, 2018, 07:34 To: Xavier Avila <a. Cc: Shawn Staker , NCAOTC Derivatives < >, Pan aj-A Chopra Alka Gopala < Subject: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Classification: For internal use only Hi Alex, 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 EFTA01406892 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 {cid:image001.png@OlD3D561.AD31EA70} Regards Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Emai EFTA01406893 Escalations Contact:- This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01406894