regards to the red list. Please advise where we go from here as its very frustrating to find out while we are in the middle of an NCA and while we were trying to conduct trades. Thank you Nina Tona From: Rita Shteynberg Sent: Monday, February 26, 2018 5:48 PM To: Nina Tona <MME t ; Zack Bunimovich Lindsa r Robinson < Cc: Davide-A Sferrazza Subject: RE: • "REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-I Classification: For Internal use only Nina- If a client has been red listed we cannot proceed with the NCA process. Please speak with Jitan Patel about red listed clients and the process around this. Thank you From: Nina Tona Sent: Monday, February 26, 2018 4:46 PM To: Zack Bunimovich Cc: Rita Shteynberg • Jitan Patel ****URGENT" [I] Davide-A Sferrazza Subject: RE: • 'REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB 'URGENT** [I] Classification: For Internal use only Yes, we don't understand why it was put on that list. We need to make sure the MCA is completed and extended for global credit derivatives. Thank you Nina Tona From: Zack Bunimovich Sent: Monday, February 26, 2018 4:44 PM To: Nina Tona Cc: Rita Shteynberg < ' ' " ' " " Davide-A Sferrazza Subject: RE: • "REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB Classification: For internal use only Hi Nina, ****URGENT" [I] If the client was put on the red list that means we can't trade with them? Is this request still needed? CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043470 CONFIDENTIAL SDNY_GM_00189654 EFTA01357126