s review later this week.... From: Nina Tona Sent: Tuesday, February 20, 2018 5:50 PM To: Davide-A Sferrazza Np. Sounds good! ; Xavier Avila C; Alastair Mackinlay ; Joshua Shoshan Billy Obregon e Action Plan • Update I [II CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045958 CONFIDENTIAL SDNY

SD Capital L.P. KCP US AB Centaurus Capital LP Thank you Nina Tona From: Xavier Avila Sent: Tuesday PM avide-A Sferrazza Cc: Martin Zema Alastair Mackinlay oshua Shoshan Billy Obregon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045971 CONFIDENTIAL SDNY_GM_00192155 EFTA01358376

om: Xavier Avila Sent: 02 March 2018 13:53 To: GM ACO lain Macara Rita Shteynberg Man Patel Mathew Negus Cc: Nina Tona Subject: RE: SF [I] ; Alastair Mackinlay ; Martin Zeman Davide-A Sferrazza Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timefr

Bunimovich Sent: Tuesday, March 13, 2018 11:16 AM To: Martin Zeman Xavier Avila Cc: Nina Tona Rita Shteynberg ; Mathew Negus Man Patel <I M:.; Alastair Mackinlay Davide- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045994 CONFIDENTIAL SDNY_GM_00192178 EFTA01358383

B Centaurus Capital LP Thank you Nina Tona From: Xavier Avila Sent: Tuesday, February 20, 2018 7:00 PM Davide-A Sferrazza Cc: Martin Zeman ; Alastair Mackinlay Joshua Shosha ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Good work, let's review later this week.... From: Nina Tona

Sferrazza • Joshua Shoshan Subject: Fintech [Cl Attachments: Nina Tona - 12 March 2018 - Fintech.xlsx Classification: Confidential Hi Xavi, ; Alastair Mackinlay Billy Obregon As per our conversation yesterday, there were multiple clients that started with Fintech. i did a little more digging and the below two

1 [I] Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, Februar 20 2018 5:50 PM To: Davide-A Sferrazz ; Xavier Avil ; Alastair Mackinlay Billy Obregon Alastair Mackinlay Joshua Shoshan illy Obregon Su ject: RE: GM KCP Bi e - Action Plan - Update I DI CONFIDENTIAL - PURSUANT TO FED.

Thank you Nina Tona From: Liam Osullivan Sent: Friday, December 15, 2017 5:27 PM To: Xavier Avila Nina Tona ; Martin Zeman Cc: Alastair Mackinlay Mathew Negus a Joshua Shoshan • ; Davide-A Sferrazza u tec : : ou ern inancial LLC (CJ Classification: Confidential DBSI Account: Southern Fi

n Plan - Update I KYC Priority List Ill >; Davide-A Sferrazza Classification: For Internal use only Please see updated list. >; Billy Obregon >; Alastair Mackinlay >; Ian Priority Rank Team KCP LATAM WM Client / Account Name 03 Capital Global Fund dbcar ID Responsible New KYC Review - For KYC Da

ity and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman Avila Cc: Alastair Mackinlay Mathew Negus Subject: RE: SF (II ; Zack Bunimovich ; Rita Shteynberg a; Mathew Negus ; Jitan Patel Davide-A Sferrazza Xavier Classification: F

h Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] avide-A Sferrazza Classification. For Internal use only Billy Obregon Alastair Mackinlay Ian Trot- rir KYC Responsible Responsible Priority Team WM Client/ New KYC Review dbcar ID - For - For Case Target Live Rank Account

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

Nina T Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 2:32 PM To: Nina Tona Cc: Joshua Shoshan >; Davide-A Sferrazza ; Alastair Mackinlay ; Martin Zeman a; Billy Obregon ; Ian Salters Subject: Re: GM KCP Bible - Action Plan - Update I KYC Priority List [I] Both GBK and GKFF have t

nboarded. Thank you Nina Tona From: Zack Bunimovich Sent: Monday, March 05, 2018 12:58 PM To: Xavier Avila ; Rita Shteynberg Mathew Negus Cc: Alastair Mackinlay A Sferrazza Subject: RE: SF [I] Classification: For inbrttal use only Hi Xavier, ; Martin Zeman ; Davide- Mathew Negus ; Nina Tona Nothing els

Cc: Kareen Johnson < >; Alastair Mackinlay Subject: RE: SOUTHERN FINANCIAL LLC - ONB-1010155 [I] Classification: For Internal use only Amber and Karen, I have a few questions. The client

Please provide an update on the below. Thank you Nina Tona From: Alastair Mackinlay Sent: Wednesday, December 20, 2017 11:55 AM To: Amber Davis < >; Nina Tona Cc: Kareen Johnson < Subject: RE: SOUTHERN FINAN( IAI I I ON R-1010155

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 of the below was already provided

To: GM ACO ; lain Macara ; Rita Shteynberg Jitan Patel Mathew Negus Cc: Nina Tona ; Alastair Mackinlay i Martin Zeman Davide-A Sferrazza u ect: : Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answer

vich Sent: Thursday, March 15, 2018 12:29 PM To: Martin Zeman Rita Shteynberg < ; Jitan Patel Xavier Avi a ; Liam Osullivan a; Mathew Negus ; Alastair Mackinlay <IMIaMa>; Davide-A Sferrazza a Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding ICI

O Nina T Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 2:32 PM To: Nina Tona Cc: Joshua Shoshan Davide-A Sferrazza ; Alastair Mackinlay ; Martin Zeman < ..; Billy Obregon Ian Salters Subject: Re: GM KCP Bible - Action Plan Update I KYC Priority List [I] Both GBK and GKFF have tra