Subject: RE: EDD package for the RID : ONB-120902 LICYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal U88 only Hello Dmitri, Any word on the discussion for this request? Thanks Kind Regards. Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equit

E: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High Classification: For internal use only Dmitri, Please speak with Courteney as she would be the responsible party for this request. Thanks Kind Regards.. Mrs. Anastasia Pringle Deutsche Bank

Deutsche Bank Securities Inc Compliance Possitrt417Peerairm Anastasia Pringle---12/19/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri, From. To: Cc: Subject Anastasia Pringleldbidbcom@DBCOEX Mankandan Muraldharandbldbcom@DBAPAC. Dmitri Saks/db/dbcom. Ged Acconit-Openingidtild

Classification: For internal use only Hi Dmitri, We have got the alert review for the RDC alert received on Richard Kahn. During the alert review, we have found that these alerts are false positi

14 08.01 PM RE: EDD package for the RID: ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC lU Classification: For Internal use only Hello Dmitri, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067138 CONFIDENTIAL SDNY_GM_00213322 EFTA01373115

gle Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Dmitri, We have got the alert review for the RDC alert received on Richard Kahn. During the alert review, we have found that these alerts are false positi

a letter/email from an internal or external legal counsel stating that Mr. Epstein is the sole U8O of Southern Financial LLC. Thanks and regards, Dmitri DmkrI Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 PurrinoFtr PeepooK CONFIDENTIAL - PURSU

408:01 PM RE: EDD package for the RID: ONB-litivu2 LKYCUS-3443 Party name : Southern Financial LLC Ill Classification: For Internal use only Hello Dmitri, Please see the background checks for the additional 2 CP's. Please give an update to this request as soon as you can. Thank you Kind Regards, M

Deutsche Bank Securities Inc Compliance Panitrwirr Pe•'ftnn Anastasia Pringle---12/19/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri. From: To: Cc: Date: Subject: Dmitri Saks/db/dbtom. 12/19/2014 02:43 PM RE: EDD package toe the RID: ORB-120632 LOCUS-3443 Party name : South

rma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The UBO is the sole controlling person of our entity however the Board of Directors who executed the operating agreement are the pan of the Parent

ance Deutsche Bank Securities Inc. Compliance Pawn,* PowpooK Anastasia Pringle---12/19/2014 02.43:57 PM--Classification: For internal use only Hi Dmitri. Rom: To: Cc: OS: Anastasio Pnngleldb/dbcomraDBCOEX Manikandan Muraldhararklbldbcom@DBAPAC. Dnen Sakedb.ebcom God Accourit-Openingrdeldbcorn@D

408:01 PM RE: EDD package for the RID . ONB•12uaut LKYCUS-3443 Party name : Southern Financial LLC II) Classification: For Internal use only Hello Dmitri, Please see the background checks for the additional 2 CP's. Please give an update to this request as soon as you can. Thank you Kind Regards, M

HI Dmitri, The Document is signed by the UBO himself however adding to it there are two more Individuals executed the same doc who are the part of Board of D

014 08:01 PM RE: EDO package for the RID ONB-120602 LKYCUS-3443 Party name Southern Financial LLC III Classification: For Internal urns only Hello Dmitri, Please see the background checks for the additional 2 CP's. Please give an update to this request as soon as you can. Thank you Kind Regards. M

E: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High Classification: For internal use only Dmitri, Please advise on the status of this, is this request still pending with AML? Thanks Kind Regards. Mrs. Anastasia Pringle Deutsche Bank Securiti

rma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The UBO is the sole controlling person of our entity however the Board of Directors who executed the operating agreement are the part of the Paren

os-A Garcia I ; Jan Bornebusch Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name 1 Classification: For Internal use only Dmitri — Thanks for the information. Kind Regards, Wayne Salit Southern Financial LLC III From: Dmitri Saks Sent: Tuesday, December 23, 2014 9:32 AM

/201408:01 PM RE: EDO package for the RID : DNB-120932 LKYCDS-3443 Party name : Southern Financial LLC Classification: For Internal use only Hello Dmitri, Please see the background checks for the additional 2 Crs. Please give an update to this request as soon as you can. Thank you P1 Kind Regards.

e Deutsche Bank Securities Inc. Compliance Passin‘ivRuppoom Anastasia Pringle---12119/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri, From: To Anastasia Pringle/dbidbcomeDBCOEX Mandoandan Muralklharanfdb/dbcom@DBAPAC, Dmitri Saks/db./acorn. CONFIDENTIAL - PURSUANT TO FED. R. C

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