From: Sent: To: CC: Nina Tona 3/13/2018 11:41:22 AM Zack Bunimovich • Martin Zeman Xavier Avila Rita Shteynberg Alastair Mackinla Anthony Lentini Mathew Negus ; Man Patel ; Davide-A Sferrazza Subject: RE: SF (I) (C) Attachments: Southern Financial Operating Agreement.pdf; Southern Trust C

From: Xavier Avila Sent: 4/5/2018 2:54:21 PM To: Mathew Negus Zack Bunimovich CC: Martin Zeman ; Anthony Lentini Ian Salters-; Nina Tona Subject: RE: Southern Financial RDC Alerts III Nina cced... From: Xavier Avila Sent: Wednesday, April 04, 2018 5:19 PM

To: Zack Martin Zeman Xavier Avila Cc: Rita Shteynberg < ; Alastair Mackinlay Anthony Lentini Subject: RE: SF [I] [C) Classification: Confidential lack, >; Mathew Negus Jitan Patel Davide-A Sferrazza i believe some of the below was alre

the system. Could you please send over a new CRS Self Cert so they can proceed with their review? Apologies for the inconvenience. Kind Regards, Anthony Lentini Client Data Services I COO DBUSA Core Corp. 5201 Gate Parkway Jacksonville FL32256 Tel.: E-mail: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(

To: Zack Bunimovich , Martin Zeman Xavier Avila Cc: Rita Shteynberg ~.~~>; Mathew Negus ; Man Patel ; Alastair Mackinlay ; Davide•A Sferrazza Anthony Lentini Subject: RE: SF [I] [CI Classification: Confidential Zack. believe some of the below was already provided back in Feb. Please review below and at

:08 To: Zack Bunimovich a, Rita Shteynberg < Jim Patel c: >, Nina Tona > , lam su wan Mathew Negus Alastair Mackinlay Davidc-A Sferrazza , Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding IC) Classification: Confidential Zack — thanks, plea

Subject: RE: SF [I] ICJ Classification: Confidential Hi Martin, >; Xavier Avila < ; Rita Shteynberg >; Mathew Negus >; Alastair Mackinlay < >; Anthony Lentini < ; Davide- I just received the finalized KYC review yesterday. Even though the entity is opened for other products, it is outside of its KYC revie

Davide-A Sferrazza •* ; Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding ICJ Zack/Nina, what is the latest on SF KYC/Extension

Rita Shteynberg <a; Jitan Patel Cc: Xavier Avila • >; Liam Osullivan Mathew Negus fl Illap; Alastair Mackinlay IIM IEMfl; Davide-A Sferrazza >; Anthony Lentini Subject: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] Importance: High Classification: Confidential Zack,

ina Tona « ; Xavier Avila ; Martin Zeman 1.4C1110IIIWUL/.1.1/111•., Rita Shteynberg Ce: Mathew Negus ; Alastair Mackinlay ; Davide-A Sferrazza Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding (IJ Zack, Richard is on the board of Southern Trust

20 PM Nina Tona Liam Osullivan ; Zack Bunimovich I I; Martin Zeman ; Rita Shteynberg ; Mathew N I; Alastair Mackinlay ; Davide-A Sferrazza ; Anthony Lentini , Ian Salters Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding (C) [I] Attachments: doc0255642017112

; Alastair Mackinla ; Davide-A Sferrazza Anthony Lentini Subject: RE: SF [I] (C) Classification: Confidential lack, i believe some of the below was already provided back in Feb. Please review below and

arch 14. 2018 5:09 PM To: Zack Bunimovich ; Rita Shteynberg Jitan Patel ; Liam Osullivan Mathew Negus Alastair Mackinlay Davide-A Sferrazza ; Anthony Lentini Subject: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [CI Importance: High Classification: Confidential Zack,

8 6:02 PM To: Zack Bunimovich Cc: Liam Osullivan Davide-A Sferrazza Xavier Avila Martin Zeman • Jitan Patel athew Negus Alastair Mackinlay ; Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [CI (Ij Classification: For Internal use only He did

11:26 To: Liam Osullivan Nina Tona Xavier Avila Martin ZeIllatI Rita Shtcynbcrg Cc: Mathew Negus Alastair Mackinl , Davide-A Sferrazza Anthony Lentini <: Subject: RE. Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] [1] Classification: For Internal use only Hi

To: Zack Bunimovich Martin Zeman Xavier Avila Cc: Ritn Shteynberg ; Mathew Negus Jitan Patel •Alastair ac may ; Davide-A Sferrazza <IMMI ; Anthony Lentini Subject: RE: SF [I] [C] Classification: Confidential lack, i believe some of the below was already provided back in P eb. Please review below and

h 29, 2018 11:23 AM To: Zack Bunimovich ; Xavier Avila Martin Zeman Cc: Liam 0sullivan ; Mathew Negus ; Alastair Mackinlay Davide-A Sferrazza Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding IC] Ill Classification: For Internal use only Hi Zac

an Rita Shteynberg Jitan Patel Nina Tona Cc: Liam Osullivan Mathew Negus a; Alastair Mackinlay Davide-A Sferrazza <[email protected]>; Anthony Lentini Subject: RE: Southern Financial UI - KYC and credit derivatives/convertible bonds onboarding (Ij Classification: For Mtemal 1389 only Hi Xavier,

o: Zack Bunimovich ; Martin Zeman ca; Xavier Avila Cc: Rita Shteynber ; Mathew Negus •ca; Jitan Patel Alastair Mackinlay Davide-A Sferrazza <- Anthony Lentini Subject: RE: SF [I] [C] Classification: Confidential lack, i believe some of the below was already provided back in F eb. Please review below and

c: Martin Zeman Subject: RE: Southern Financial RDC Alerts Ill Yes From: Martin Zeman Sent: Tuesday, April 03, 2018 1:01 PM To: Zack Bunimovich Anthony Lentini avier Avila Cc: Anthony Lentini Subject: RE: Southern Financial RDC Alerts (II Acknowledged. Please proceed with onboarding. Mat — please confir