y Swap Trading Deutsche Bank AG, Filiale London CB&S - Markets Winchester House, 1 Great Winchester Street, EC2N 2DB London. United Kingdom Tel. Pankaj-A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045987 CONFIDENTIAL SDNY GM_00192171 EFTA01358381

From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus Cc: Joe Aglione Pankaj-A Cho Zeman Alka Gopala Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Akash Malhotra Shawn, MO, is it ok to move

to London if the desk agrees. From: Xavier Avila Sent: Monday, April To: Akash Malhotra Cc: Shawn Staker Chopra Ian Salters 16, 2018 7:44 AM Pankaj-A Chopra • tan Salters _FFT Location [I] ; NCAOTC Derivatives Pankaj-A ka Gopala ; Nina Tona Mathew Negus ; Martin Zeman Subject: RE: KYC Br

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_SOUTHFINANMD_Southem Financial, LLC_FFT Location [II Done, thanks.

odes SOUTHFINANMD as DB is looking to pay EUR 1,021,732.88 value dated 17April 2018 under refer Settlement date is 17April 2018 Thanks & Regards, Pankaj Derivative Settlement Email: Deutsche Bank Primary Contact: Dinesh: Tel +44(207)7794409 or Harsha: Tel Tel (Post) Gururaj R-V: Tel ost) Ch

ct: FW: EMS/160418103764: Preconfirmation Importance: High Classification: Confidential Joe, We sent them the instructions. Thanks Lam From: Pankaj-x Singh Sent: Monday, April 16, 2018 12:18 PM To: Static Data < Cc: lakshmanan-x Ramasamy < >; Xavier Avila Derivative-Corporate Settlements <

To: Mathew Ne s ; Akash Malhotra Cc: Joe Aglione • Ian Salters Nina Tona Pankaj-A Cho•ra ; NCAOTC Derivatives Zeman ; Alka Gopala <a> Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Shawn, MO, is

From: Xavier Avila Sent: 17 April 20 Akash Malhotra Cc: Joe Aglion • Ian Salters pm>, Nina Tona Pankaj m>; • • c iMMIMI >; Martin Zeman >, Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Done, thanks. Ar

s. From: Mathew Negus Sent: Tuesday, April 17 2018 7'11 AM To: Jimmy-H Xu ; Xavier Avila a; Akash Malhotra c: oe tone 1 an a ters Nina Tona Pankaj-A Cho r ra ; NCA • Te Denyanyes Zeman a opals c~~ , Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] I'll check who s

gdom From: Xavier Avila Sent: 17 April 2018 02:30 To: Jimmy-H Xu >; Mathew Negus < >; Akash Malhotra Cc: Joe Aglione Ian Salters O; Nina Tona Pankaj-A Cho ra ; NCAOTC Derivatives < Zeman >; Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Done, thanks.

Derivatives Alka Gopala Subject: KYC Brcach_SOUTHFINANMD_Southem Financial, LLC_FFT Location ill Classification: For Internal use only Hi Alex, Pankaj-A Chopra < For adoption location Frankfurt, the following trade has been booked in Summit application for OTC Derivative Product, details as follow

Street, EC2N 2DB London, United Kingdom Tel. Mobi Emai From: Xavier Avila mailu Sent: 16 April 2018 17:55 To: Mathew Nessus Akash Malhotra , Pankaj-A Zeman Alka Gopala Ian Salters Pankaj-A Cho ra NCAOTC De ' rivativ ;Martin Cc: Joe Aglione Subject: RE: KYC Breach_SOUTHF1NANMD_ ou em [nan

don, United Kingdom From: Xavier Avila mailto Sent: 16 April 2018 17:55 To: Mathew Ne Akash Malhotra Cc: Joe Aglione >. Ian Salters Nina Tona Pankaj-A Cho ra ; NCAOTC Derivatives Zeman ; Alka Gopala <a' Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Shawn, MO, is

: Monk., Apr 16, 2018, 11:56 To: Xavier Avila > Mathew Ncgus , Akash Malhotra Cc: Joe AglionealMIN=I lan Salters <Imelllonalliom>, Nina Tona a, Pankaj-A Chopra , NCAOTCDerivative . Martin Zeman a opala Subject: RE: KYC Breach_SOUTHFINANMD_Southcrn Financial, LLC_FFT Location [I] Classification

Great Winchester Street, EC2N 2DB London, United Kingdom From: Xavier Avila [mai I io Sent: 16 April 2018 17:55 To: Mathew Ne s Cc: Joe Aglione Pankaj-A Cho r ra Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Akash Malhotra AOTC Derivatives Nina Tona MO, is

NCAOTC Derivatives >, Alka Gopala Subject: KYC Brcach_SOUTHFIIIIMPAancial. LLC_FFT Location Ill Classification: For Internal use only Hi Alex, , Pankaj-A Chopra < For adoption location Frankfurt, the following trade has been booked in Summit application for OTC Derivative Product, details as follow

Cc: Joe Chopra u ject: , Ian Salters >, Nina Tona >, Pankaj-A , Martin Zeman , Alka Gopala reac _SOUTHFINANMD_Southcm Financial, LLC_FFT Location II] Classification For Internal use only In general, every

r Avila Sent: 16 April 2018 17:55 To: Mathew Negus ; Akash Malhotra Martin Zeman Pankaj-A Cc: Joe Aglione ; Ian Salters M~~; Nina Tona <~~,; Pankaj-A Chopra NCAOTC Derivatives >, Martin Zeman c ill~»; Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] S

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: KYC Breach SOUTHFINANMD_Southem Financial, LLC_FFT Location [Ij

From: Xavier Avila Sent: 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