Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I] From: Xavier Avila Date: Mon, 16 Apr 2018 12:55:22 -0400 To: Mathew Negus Akash Malhotra < Cc: Shawn Staker NCAOTC Derivatives Pankaj-A Chopra Alka Gopala Nina Tona Ian Salters Martin Zeman Joe Aglione Shawn, MO,

na Tona ; Ian Salters ; Mathew Negus ; Martin Zeman EFTA01401922 Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

To: Xavier Avila Jitan Patel Cc: Nina Tona Subject: RE: SF , lain Macara athew Negus , Alastair Mackinlay , Davide-A Sferraz2a Classification: For Internal use only Rita Shtevnber GM ACO Martin Zeman Hi Xavier I've reached ou

have a client trying to execute a transaction. Thanks From: lain Macara Sent: Thursday, March 01 2018 11:48 AM To: Xavier Avila Rita Shteynber Mathew Negus GM ACO Cc: Nina Tona ; Alastair Mackin ; Davide-A Sferrazza ; Jitan Patel I 1" " Martin Zeman Subject: Rt: Gm ACO — can you liaise with cen

atives Pankaj-A ; Alka Gopala Nina Tona Mathew Negus Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

THFINANMD_Southem Financial, LLC_FFT Location [I] Akash Malhotra AOTC Derivatives Nina Tona MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: X vi r Avila Cc: Chopra Ian Salters Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financ

don CB&S - Markets Winchester House. 1 Great Winchester Street. EC2N 2DB London. United Kingdom From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus < , Akash Malhotra < ; Cc: Joe Aglione Pankaj-A Chopra Ian Salters >. Nina Tona ; ; NCAOTC Derivatives ; Martin Zeman a opals Mila Subject:

artin Zeman ; Alka Gopala ina Tona < NCAOTC Derivatives ; Pankaj-A Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

Monday, April 16, 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker ; NCAOTC Derivatives ; Pankaj-A Cho ra ; Alka ; Nina Tona ; Ian Salters ; Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extensi

a ; Alka ; Nina Tona ; Ian Salters ; Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

movich Cc: Nina Tona A Sferrazza Subject: RE: Classification: Confidential Morning Zack, • Xavier Avila ; Alastair Mackinlay Zach Pric athew Negus We haven't heard back from you on Friday. Can you let us know what the timeline looks like today please? Thanks, Martin From: Zack Bunimovich Se

30 AM To: Xavier Avil ; Martin Zeman Cc: Nina Tona a Rita Shteynberg ; Man Patel A Sferrazz Subject: R Classification: Confidential Xavier, Mathew Negus Davide- Alastair Mackinlay Davide- The fund was still undergoing a KYC review per my last contact with the team. I will check again today. Thanks,

2018 11:45 AM To: Rita Shtevnbere < Pi. II M II Pawn,' -)../ 4.0.~ /was .1.11~ ••••• RfYt • MI 1 SnLn 4.-~ 1.1Z 1.1":.0 ,• •• tt•tc.”- ; Mathew Negus Jitan Patel Tii~i~lim>; Martin Zeman Mathew Negus Nina Tona Subject: RE: SF [I] Thanks Rita. Zack, let us know what next steps are. From: Ri

: RE: SF [I] Thanks Rita. Zack, let us know what next steps are. From: Rita Shteynberg Sent: Monday, March 05, 2018 11:08 AM To: Xavier Avil ew Negus < Jitan Patel Zack Bunimovi Cc: Alastair Mackinlay ; Martin Zeman <1 :>; Davide-A Sferrazza ; Davide-A Sferrazza >; Mathew Negus Nina Tona Inc

• Panka.-A >; Alka Gopala Nina Tona ; Mathew Negus • Martin Zeman Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

opala <a> Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Shawn, MO, is it ok to move this trade to London pis? From: Mathew Negus Sent: Monday, April 16 2018 9:03 AM To: Xavier Avila Cc: Shawn Staker Chopra Ian Salters ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_S

Chopra opata ; Nina Tona Ian Salte ; Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHF1NANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

nt: Monday, April 16 2018 7:44 AM To: Akash Malhotra Cc: Shawn Staker < ; NCAOTC Derivatives ; Pankaj-A Chopra opata ; Nina Tona Ian Salte ; Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHF1NANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extensio

Aglione Subject: RE: KYC Breach_S0UTHFINANMD_Southern Financial, LLC_FFT Location [II Shawn, MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: Xavier Avila ; Akash Malhotra Cc: Shawn Staker ; NCAOTC Derivatives Chopra ; Alka Gopala Ian Salters

tives Pankaj-A ka Gopala ; Nina Tona Mathew Negus ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Tha

sification: For internal use only EFTA01469577 Thanks matt, just keep to black and gottesman, I have another list as well I'll send around From: Mathew Negus Sent: 07/08/2014 07:43 PM GMT To: Amanda Kirby Cc: Paul Morris; Chloe Ching; Caroline Kitidis Subject: Nominations: Metropolitan Opera Opening Ni

bile +1 (917)714-4427 Email (Embedded image moved to file: pic03861.gif) I From: > IPaul Morris/db/- dbcom I To: > > EFTA01469576 1"Mathew Negus" S, Amanda Kirby/db/- dbcom@DBAMERICAS, > > Cc: 1 IChloe Ching/db/dbcom@DBAMERICAS, Caroline Kitidis/db/- dbcom@DBAMERICAS > > I Date: >

2014 [I] Classification: For internal use only Thanks matt, just keep to black and gottesman, I have another list as well I'll send around From: Mathew Negus Sent: 07/08/2014 07:43 PM GMT To: Amanda Kirby Cc: Paul Morris; Chloe Ching; Caroline Kitidis Subject: Nominations: Metropolitan Opera Opening Ni

image moved to file: pic30663.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom Paul Morris/db/- EFTA01469572 • " ew Negus" Date: PM 07/08/2014 03:51 Subject: Re: Nominations: Metropolitan Opera Opening Night Gala, Monday, September 22, 2014 [I] Classification: Fo

From: Sent: Xavier Avila 4/16/2018 9:30:18 PM To: Jimmy-H Xu I ; Mathew Negus I I; Akash Malhotra CC: Joe Aglione I; Ian Salters I ; Pankaj-A Chopra I ; NCAOTC Derivatives I; Martin Zeman I ; Alka Gopala Subject: RE

help us with FFT extensions, same NY CMs? Thanks From: Jimmy-H Xu <IM> Date: Monday, Apr 16 2018 11:56 T • X ,' r Avil Ce: Joe A Cho r ra h w Negus Akash Malhotra corn> Nina Tona hone >, Ian Salters >. CAOTC Derivatives , Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial,

Monday, March 05, 2018 3:07 PM To: Martin Zeman Zack Bunimovic Avila ; Rita Shteynberg < ; Man Patel > Cc: Alastair Ma ; Davide-A Sferrazza Mathew Negus Subject: RE: SF ; Mathew Negus Xavier Classification: For Internal use only Martin - Please confirm we don't reed SF to be extended for anything

berg titan Patel Cc: Alastair Mackinlay A Sferrazza < 1111111111i> Subject: RE: SF [I] Classification: For internal use only Hi Xavier, athew Negus Martin Zeman • Davide- ; Mat ew Negus < ; Nina Tona CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043530 CONFIDENTIAL SDNY_GM_0018

TC AC avier Avila Leonardo Suarez an Patel Matthew Peckman <[email protected]»; S anna luwasegun Ajiboy M Sameer Lalji Ian a ter athew Negus Subject: RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS III Classification: For Internal use only Hi Marcus, CONFIDENTIAL - PURSUANT TO FED. R. CRIM.

ect: RE: TRADEINVEST FINANCIAL HOLDINGS LTD, BS III Classification: For Internal use only Hi Nina, Leonardo Suarez Shanna Cooke ; Sameer Lalji Mathew Negus Understood, this can be Green from a WM perspective, but from a CIB perspective it will remain Red. If Aziz has approved the list then the client w

nks, Martin From: Nina Tona Sent: Tuesday, March 13, 2018 11:41 AM 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

To: Jimmy-H Xu • Mathew Negus Akash Malhotra Cc: Joe Aglione Ian Salters Nina Tona Pankaj-A Cho ra ; NCAOTC Derivatives Zeman ; Alka Gopala <a> Subject: RE: KYC Breach_SO

Restored At 2 I a',C.I4 WV At From: Nina Tona Sent: Friday, December 15, 2017 2:47 PM To: Martin Zeman .1 1; Xavier Avila Cc: Alastair Mackinla Mathew Negus < ; Joshua Shoshan CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046182 CONFIDENTIAL SDNY_GM_00192366 EFTA01358446

cial, LLC_FFT Location II Classification: For internal use only Extension to FFT goes to US Case Management. What's the mat date on the xccy swap? Mathew Negus Director I ICG Business Management From: Nina Tona Sent: Tuesday, April 17, 2018 8:32 AM To: Mathew Ne imm -H Xu Xavier Avila Akash Malhotr

n 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 already provided back in Feb. Please review below and attached to make sure they ar