Kind Regards. Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 56 Jacksonville, FL. USA Please send all GED related emals to PAgs401,* Perform. From:

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

Fax Email Please send all GED related emals to: Rumitn‘ *fir Peffbrni. From: Anastasia Pringle Sent: Monday, December 22, 2014 5:44 PM To: Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject

thern Financial LLC III Classification: For Internal use only Hi Dmitri, Can you please advise on the current status? Thanks Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities Gate Parinvmv Sure 500 32256 Jacksonville, FL. USA Please send all GED related enacts to

S. CAGNY NCA/Ob/dbcom@DIESAmericas. Manikandan Muralidhararvdbildbeorn412DBAPAC. Sujith Shetly/db/dbcom@DBAMERICAS. US-CB S-AMUdb/dbcom@DBAMERICAS, Anastasia Pringle/dbidbcorn, Kumud Sharmaidb/dboom@DBAPAC 12/17/2014 10:08 PM RE: EDD package for the RID ONB-120602 LKYCUS-3443 Party name Southern Financial LW [II

m Pusin,AV Peeporen From: Manikandan Muralidharan Sent: Friday, December 19, 2014 10:32 AM To: Dmitri Saks Cc: Ged Account-Opening; US-CB S-AML; Anastasia Pringle Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Dmi

or Escalations nt 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

ssification: For internal use only -- Forwarded by Carlos-A Garcia:skit:Ikon, on 12/232014 0812 AM -- From' Courteney B Fomal/db/dbcom@DBCOEX To. Anastasia Pringle/db/dboom. US-CB S-AMUdb/dbcomiDBAMERICAS. Mark Whymarvdb/dbcom. Ged Aceount-Operang/dbidbconvaDBAmeticas. Manikandan Murakdharanidb/dboom@06APAC CO

om: Jofin Varghese Sent: Wednesday, December 17, 2014 10:36 AM To: Dmitri Saks Cc: CAGNY NCA; Manikandan Muralidharan; Sujith Shetty; US-CB S-AML; Anastasia Pringle; Kumud Sharma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal us

Kind Regards. Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Please send all GED related em

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 Muralidh

egards, Dmitri Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005.2836 Panic 4o Pe✓fbnn From: Anastasia Pringle Sent: Thursday, December 18, 2014 12:24 PM To: Manikandan Muralidharan; Dmitri Saks Cc: Ged Account-Opening Subject: RE: EDD package for the RID

rthl Level 2 - Balaji Panitn•ctu PeArf , — Forwarded by Manikandan Muralidhararildbrdbcom on 1211912014 08:13 PM — From To Ce: Date' Subject Anastasia Pringle/db/dbcom@DECOEX Dmitn Saks/db/dbcom. Ged Account-Openingidb/dbcominDBAmericas, US-C8 S-AMLiclOrdbcom@DBAMERICAS, Manikandan Muralidharan/dbldbcom@D

Cc: CAGNY NCA; Manikandan Muralidharan; Sujith Shetty; US-CB S-AML; Anastasia Pringle; Kumud Sharma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal us

rn Financial LLC gl Classification: For Internal use only Good morning, Do we have an update on the below request. Thanks z Kind Regards, Mrs. Anastasia Pringle CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067761 CONFIDENTIAL SDNY_GM_002 13945 EFTA01373530

el. Fax Email Please send all GED related emails to: Passion itrPeeftwyn, From: Courteney B Fornal Sent: Monday, December 22, 2014 5:42 PM To: Anastasia Pringle; US-CB S-NIL; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name

To. Cc: Date: Subject Jofin Varga CAGNa ManNandan War US-CB S-AM Anastasia Pringle Kumud Sharma 12/17/201410:08 PM RE: EDD package for the RID : ONB-120902 IKYCUS-3443 Patty name Southern Financial LLC pi Classification: For Inf

ri 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; Anastasia Pringle Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal use only Courtn

lease see the background checks for the additional 2 CPIs. Please give an update to this request as soon as you can. Thank you Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067951 CONFIDENTIAL SDNY_GM_

ification: For internal use only --- Forwarded by Carlos-A Garcia/dbldbcom on 12/23/2014 08:12 AM — From. Courteney B Fornalklb/dbcomeDBCOEX To. Anastasia Pringle/dbldbcom. US-CB S-AMUdb/dbcom€DBAMERICAS, Mark Whymanklb/dbcom. Cc. Ged Accourt-Opening/db/dbcorrwaDISAmericas. Manllcandan Mcralidharan/dbklbcom@D