Tel: E-mail: PASTritrh--trr Peep-rm. From: Anastasia Pringle Sent: Wednesday, January 07, 2015 11:28 AM To: Dmitri Saks; Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LI

Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Passio-h.-frr Pe/0ns- From: Courteney B Fornal Sent

Hosur Road 560100 Bangalore, India Dmitri Saks--12/17/2014 08:30:54 PM--Classification: For internal use only Hi John, From. To Cc Date Sublett Dmitri Saks/db/dbcom€DBCOEX Jofin Varghescildb/dbccm@DBAMERICAS. GLORY NCA/db/dbcom@DBAmencas. Manikandan Muralldharanictbklbcom@DBAPAC. St th Shetty/db/dticom

-Classification: For internal use only Hi Dmitri, From. To: Cc: Subject Anastasia Pringleldbidbcom@DBCOEX Mankandan Muraldharandbldbcom@DBAPAC. Dmitri Saks/db/dbcom. Ged Acconit-Openingidtildbcorn@DBAmericas, US-CB S-AML/dtitclbcom@DBAMERICAS 12/19201402:43 PM RE: EDD package {or the RID: ONB-120902 L

Level 1 - Korth Level 2 - Balaji Thnio-s4v aironst. --- Forwarded by Manikandan Muralidharan'db/dbcom on 12119,201408:13 PM — Anastasia Pringle Dmitri Saks . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067182 CONFIDENTIAL SDNY_GM_002 13366 EFTA01373145

ng Equities 5022 Gate Parkwa Suite 500, 32256 Jacksonvite, FL, USA Tel. Fax Email Please send all GED related °mails to: gurritn4aPeepan From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Friday, December 19, 2014 3:03 PM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067178 CONFIDENTIAL S

y for Ms. Fornal. Kind Regards, Wayne Salit From: Carlos-A Garcia Sent: Tuesday, December 23, 2014 8:15 AM To: Wayne Salit Cc: Carlos-A Garcia; Dmitri Saks Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hello

Equities 5022 Gate Parima Suite 500. 32256 Jacksonviae. FL. USA Tel Fax Email Please send all GED related emails to: Pacin,it Peerftw, From: Dmitri Saks Sent: Thursday, December 18, 2014 1:23 PM To: Anastasia Pringle Cc: Ged Account-Opening; US-CB S-AML; Manikandan Muralidharan Subject: RE: EDD pa

Panitrwirr Pe•'ftnn Anastasia Pringle---12/19/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri. From: To: Cc: Date: Subject: Dmitri Saks/db/dbtom. 12/19/2014 02:43 PM RE: EDD package toe the RID: ORB-120632 LOCUS-3443 Party name : Southern Financial LLC pl Classification: For Intern

been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf" deleted by Dmitri Saks/db/dbcom] CIP Document [attachment "1 - CIP Doc.pdf' deleted by Dmitri Saks/db/dbcom] Physical Email 'attachment "CIP e-mail.pdf' deleted by Dmit

ent Onboarding Equities 5022 Gate Padova . Suite 500. 32256 Jacksonville. FL. USA Please send all GED related ernails to Rufreio-p.ivaeronm From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Monday, December 22, 2014 5:18 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-A

Equities P rle tee 500. 32256 Jacksonville. FL. USA Please send all GED related °marts to: God account-openinggigdecom Passift4vailcorht. From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Friday, December 19, 2014 3:03 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-A

Fax Email Please send all GED rated emails to. Pavial4a PeerooK From: Dmitri Saks Sent: Thursday, December 18, 2014 1:23 PM To: Anastasia Pringle Cc: Ged Account-Opening; US-CB S-AML; Manikandan Muralidharan Subject: RE: EDD pa

been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf* deleted by Dmitri Saks/db/dbcom) CIP Document [attachment "1 - CIP Doc.pdf' deleted by Dmitri Saks/db/dbcom] Physical Email 'attachment "CIP e-mail.pdf" deleted by Dmit

fortable from a Rep Risk perspective and asked you to reach out to Ted for his view on this matter. Let me know. Kind Regards, Wayne Salit From: Dmitri Saks Sent: Monday, January 05, 2015 12:01 PM To: Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastas

alort Per --- Forwarded by Manikandan Murandharawdbidbcom on 1219:2014 08:13 PM -- From To. Cc: Date Subject. Anastasia Pringleidbrdbcom@DBCOEX Dmitri Saks/db/dbcom, Ged Account-Opening/dbidbcomeDBArnericas. US-CB S-AML'dbedbcom@DBAPA ERICAS. Manikandan Murandharandtidbcom@DBAPAC 121182014 08:01 PM RE

60 Wall Street New York, NY 10005-2836 Tel: E-mail: RuciftoV geOrm From: Anastasia Pringle Sent: Monday, January 05, 2015 10:27 AM To: Dmitri Saks; Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LK

been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf" deleted by Dmitri Saks/db/dbcomj CIP Document [attachment "1 - CIP Doc.pdf' deleted by Dmitri Saks/db/dbcom] Physical Email 'attachment "CIP e-mail.pdf' deleted by Dmit

uities 5022 Gate Parinne Suite 500. 32256 Jackscnvl$e. FL. USA Tel. Fax Email Please send all GED related emaris to: Panioicto- Peeferon From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Monday, December 22, 2014 5:18 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-A

From: Laura Kang Sent: 8/1/2016 5:49:19 PM To: Wayne Salit I; Maria Pedulla I; Dmitri Saks Carlos-A Garcia CC: Tope Owoyemi Subject: FW: KYC Corporate Finance Attachments: 2016 EDD-EDR K0Ps.doa; 2015 Log of AML Investigations.xlsx; Ja