From: Sent: To: CC: Xavier Avila 11/16/2018 12:55:22 PM Mathew Negus Shawn Staker Akash Malhotra ; NCAOTC Derivatives • Alka Gopala-; Nina Tona • Martin Zeman ; Joe Aglione Subject: RE: KYC Breach_S0UTHFINANMD_Southern Financial, LLC_FFT Location [II Shawn, MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: Xavier Avila ; Akash Malhotra Cc: Shawn Staker ; NCAOTC Derivatives Chopra ; Alka Gopala Ian Salters ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC 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 Chopra Ian Salters 16, 2018 7:44 AM Pankaj-A Chopra • tan Salters _FFT Location [I] ; NCAOTC Derivatives Pankaj-A ka Gopala ; Nina Tona Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] 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 Cc: Shawn Staker • NCA0TC Derivatives Pankaj-A Chopra a pa a Rt eRet:ffeach_S0UTHFINANMD_Southcm Financial, LLC_FFT Location III , Classification: For Internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046237 CONFIDENTIAL SDNY GM_00192421 EFTA01358461