From: Vahe Stepanian Sent: 11/9/2016 6:22:44 PM To: Daniel Saliba Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: Attachments: Template_Southern Financial LLC.xlsx Attachment should be included here. Valle Stepanian Key Client Partners Deutsche Bank Securi

From: Daniel Sabba Sent: 11/9/2016 6:21:22 PM To: Vahe Stepanian Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: Did an attachment come with this? [I] Original Message From: Vahe Stepanian Sent: Wednesday, November 09, 2016 02:04 PM Pacific Standard Time

From: Darlene Zong [ Sent: 11/9/2016 5:04:18 PM To: Vahe Stepanian Subject: Automatic reply: High Risk KYC Request: Southern Financial, LLC - CRDS ID: [I) Thanks for you email. I am currently out of office and might have intermittent access to emails. For urgent matters, please contact Daniel Sa

From: Vahe Stepanian Sent: 11/16/2016 12:06:54 PM To: Mark Whyman I Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For internal use only All great questions. Will call you to discuss later this afternoon. From: Mark Whyman Sent:

To: Vahe Stepanian Subject: High Risk KYC Request: Southern Financial, LLC - CRDS ID: n Classification: For Internal use only Dear Vahe, Please acknowledge within 24hrs and/or complete within 48hrs: In accordance with Deutsche Ban

From: Stewart Oldfield Sent: 11/9/2016 9:03:00 PM To: Todd Stevens Subject: Re: High Risk KYC Request: Southern Financial, LLC - CRDS ID: Classification: For Internal Use Only Thanks. Let me know what they need my help with. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust

From: Todd Stevens Sent: 11/9/2016 6:20:17 PM To: Stewart Oldfield Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 (I) Classification: For internal tree only From: Daniel Sabba Sent: Wednesday, November 09, 2016 6:18 PM To: Todd Stevens; Zbynek Koz

From: Daniel Sabba Sent: 11/16/2016 8:49:46 AM To: Zbynek Kozelsky Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 (I) Classification: For internal use only From: Todd Stevens Sent: Wednesday, November 16, 2016 8:14 AM To: Vahe Stepanian Cc: Darle

n Sent: Monday, November 14, 2016 8:36 AM To: Todd Stevens; Daniel Sabba Cc: Darlene Zong Subject: FW: High Risk KYC Request: Southern Financial, LLC - CRDS ID: Classification: For Internal use only Todd / Daniel — can we please discuss this week? Would like to be responsive to our GM colleagues. Thanks,

ia On Behalf Of kyc outreachteam Sent: Wednesday, November 09, 2016 5:00 PM To: Vahe Stepanian Subject: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For Internal use only Dear Vahe, Please acknowledge within 24hrs and/or complete within 48hrs: In accordance with

Wednesday, November 09, 2016 5:04 PM To: kyc outreachteam Cc: Daniel Sabba ar ene Zong < Subject: RE: High Risk KYC Request: Southern Financial, LLC - CRDS ID: 1007406812 [I] Classification: For Internal use only Acknowledged, and adding the main coverage team here. We'll be back to you. From: Michael Va