Classification: For internal use only James/Helen, Can you assist with this request? Please make top priority. Thanks, Jesse From: Zack Bunimovich Sent: Monday, May 07, 2018 3:51 PM To: Jesse-J Cruz ; AMLUK Reviews amluk compliance Cc: Kareen Johnson < ; Daniel-A Klyashtorny <daniel- Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] Classification: For internal use only Classification: For internal use only Hi AML teams, Can you please revert on the below? Thanks, Zack From: Jesse-J Cruz Sent: Thursday, May 03, 2018 3:05 PM EFTA01400086

To: AMLUK Reviews ; amluk compliance Cc: Zack Bunimovich ; Kareen Johnson Subject: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] Classification: For internal use only Hi All, We are performing a principal product extension for Southern Financial, LLC for GED, Convertible Bonds, and Global Credit Derivatives in DBAG. DBcar triggered a high risk rating. Attached is an EDD package comprised of the following: Searches Formation documents Tax document Correspondence with client emails Financial statements Please let me know if you need any additional information. Kind regards, <image002.png> Jesse Jay Cruz Analyst EFTA01400087

Deutsche Bank Securities Inc. Client Data Services I DBUSA Core Corp. 5201 Gate Parkway, 32256 Jacksonville, USA Tel: Email: EFTA01400088