Sent: Monday, May 07, 2018 3:51 PM To: Jesse-3 Cruz Cc: Kareen Johnson < ; AMLUK Reviews liance ; 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-3 Cruz Sent: Thursday, May 03 2018 3:05 PM 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 EFTA01400122

following: Searches Formation documents Tax document Correspondence with client emails Financial statements Please let me know if you need any additional information. Kind regards, fcid:[email protected] Jesse Jay Cruz Analyst Deutsche Bank Securities Inc. Client Data Services I DBUSA Core Corp. 5201 Gate Parkway, 32256 Jacksonville, USA Tel: Email: EFTA01400123