From: Vahe Stepanian Sent: 11/16/2016 12:06:54 PM To: Mark Whyman I Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For internal use only All great questions. Will call you to discuss later this afternoon. From: Mark Whyman Sent: Wednesday, November 16, 2016 11:27 AM To: Vahe Stepanian Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For internal use only Vahe, Thanks for the FYI. Out of interest, what caused this? Also, where are we on the margin loan conversion to VDF project? Have you had any further dialogue with Courteney? Perhaps more importantly, how was Japan? Mark VVh man Tel Mob Dsclatmer httpsi/ederivalives.db.cornlstaticfdisclaimer.html From: Vahe Stepanian Sent: Wednesday, November 16, 2016 8:43 AM To: Mark Whyman Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For internal use only FYI From: Vahe Stepanian Sent: Wednesday, November 16, 2016 8:43 AM To: kyc outreachteam Cc: Daniel Sabba; Darlene Zong Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For internal use only Michael - I'm following up on the below. We will be off-boarding Southern Financial LLC from the Global Markets platform, thus no need to proceed with the KYC request. Let us know if you need anything from our end or have questions. Thank you, CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0057225 CONFIDENTIAL SDNY_GM_00203409 EFTA01365884