ED IMAGINE 69901557 Active 6990155795 Active Thanks Zack From: Nina Tona Sent: Wednesday, February 14, 2018 10:19 AM To: Zack Bunimovich Cc: Rita Shte nber • Davide-A Sferrazza Subject: RE: •••REASSIGN NEEDED' "FW: SOUTHERN FINANCIAL LLC - ONB-1010155 JIJ Classification: For Internal use only Hi

el Marti < >; Davide- m>; Mathew Negus Nina Tona Including Zack who will be the case manager on this. From: Xavier Avila Sent: Monday, Ma To: Rita Shte nber Cc: Alastair Mackinla A Sferrazza Subject: RE: SF [I] ; Mathew Negus < >; Jitan Patel Martin Zeman >; Mathew Negus ; Davide- ; Nina Tona

12, 2018 7:42 AM To: Amber Davis >; Kareen Johnson < ; Yolanda Wood < Subject: RE: ***REASSIGN NEEDED***FW SOUTHERN FINANCIAL LLC Hello All, >• Rita Shte >; COB GMLondon-Jax nberg ‹ > Please advise on the below. The client wants to conduct business and we need to complete this NCA as soon as possib

uu ....0A$0r.rdrkral n in tile5 to, ntr, , ' W s bra.. Md. ..!`, ..xt I. 9.. From: Xavier Avila Sent: Monday, Marchazgl.Lagaw., To: Rita Shte nber impu Mathew Negus <11 ); Jitan Patel Zack Bunimovich <zack.bunimovich • db.corr.> Cc: Alastair Mackinla < Martin Zeman < >; Davide-A Sf

C Documents include the Articles of Organization, Thanks, Martin From: Nina Tona Sent: Tuesday, March 13, 2018 11:41 AM To: Zack Bunimovich Cc: Rita Shte Subject: RE: SF [I] [C] Martin Zeman tz t; Xavier Avila ; Mathew Negus Jitan Patel ; Alastair Mackinlay Davide-A Sferrazza Anthony Lentini Cl

m the client. Let us know what the next step is. Thank you Nina bona From: Zack Bunimovich Sent: Tuesday, March 27, 2018 5:53 PM ; Martin Zeman Rita Shte nberg Man Patel < >; Nina Tona Cc: Liam Osullivan Mathew Ne us >; Alastair Mackinlay >; Davide-A Sferrazza ; Anthony Lentini Subject: RE: Sou

up for a decent amount of products already. See below. <image001.jpg> Thanks, Zack From: Xavier Avila Sent: Monday, March 05, 2018 11:45 AM To: Rita Shte nber: < Cc: Alastair Mackinlay < A Sferrazz Subject: RE: SF [I] Thanks Rita. Zack, let us know what next steps are. ; Mathew Negus Jitan Patel

To: Xavier Avila <xavier.avilaacjb.com>; Rita Shte nber <rita.shte nber db.com>. Jitan Patel Mathew Negus < >; GM ACO Cc: Nina Tona < >; Davide-A Sferrazza >; Alastair Mackinla <alastair.mackinl

derivatives and the products already onboarded. Thank you Nina Tone From: Zack Bunimovich Sent: Monday, March OS 2018 12:58 PM To: Xavier Avil Rita Shte nber Mathew Negus • Jitan Patel Cc: Alastair Mackinla < >; Martin Zeman >; Davide- A Sferrazza < >; Mathew Negus < ; Nina Tona Subject: RE: S

zza >; Mathew Negus Nina Tona Including Zack who will be the case manager on this. From: Xavier Avila Sent: Monday, March 05, 2018 10:59 AM To: Rita Shte nber Mathew Negus >; Jitan Patel CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052611 CONFIDENTIAL SDNY_GM_00198795 EFTA01362917

To: Xavier Avila Rita Shte nbe Man Patel Cc: Nina Tona Mathew Ne s A astair Mac in ay Davide-A Sferrazza GM ACO Martin Zeman Subject: RE: SF [I] Gm ACO — can you liai

Nina Tona RE: SF [I] Classification: For Infernal use only Hi Xavier • lain Macara ; Mathew Negu ; Alastair Mackin ; Davide-A Sferrazza ay Rita Shte nber n eman The GB adoption location is Red across all business but this is GIB Green for the US adoption location — as one of the businesses has

give you the detail behind why the acct would have been added to the red list. Thanks From: Nina Tona Sent: Monday, Februa 26, 2018 6:12 PM To: Rita Shte nber < Lindsay Robinson < Cc: Davide-A Sferrazza Subject: RE: ***REASSIGN NEEDED***FW: SOUTHERN FINANCIAL LLC - ONB-I >; Zack Bunimovich >; Jit

about red listed clients and the process around this. Thank you From: Nina Tona Sent: Monday, February 26, 2018 4:46 PM To: Zack Bunimovich Cc: Rita Shte nber • Davide-A Sferrazza Subject: RE: •••REASSIGN NEEDED*" FW: SOUTHERN FINANCIAL LLC - ONB-1010155 ****URGENT** [I] Classification: For Internal

ill advise asap. Thanks, Zack From: Xavier Avila Sent: Thursday, March 29, 2018 12:34 PM To: Nina Tona ; Zack Bunimovich <M >• Martin Zeman ; Rita Shte nber• ; Jitan Patel Cc: Liam Osullivan -; Mathew Negus ; Alastair Mackinla • Davide-A Sferrazza ; Anthon Lentini ; Ian Salters Subject: RE:

Xavier Avila >; Anthony Lentini Subject: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] Importance: High ; Rita Shte nberg ; Liam Osullivan ; Alastair ; Davide-A Sferrazza Classification: Confidential Zack, See attached for what Nina Tona sent in the last emai

with the team. I will check again today. Thanks, Zack From: Xavier Avila Sent: Friday, March 09, 2018 10:32 AM To: Martin Zeman Cc: Nina Tona Rita Shte nber ; Zack Bunimovich ; Mathew Ne us ; Jitan Patel ; Alastair Mackinlay ; Davide-A Sferrazza Zack, what is the status on this urgent request?

From: Xavier Avila Sent: 01 March 2018 19:25 To: lain Macara ; Rita Shte nber ; Jitan Patel GM ACO Cc: Nina Tona Sferrazza < Subject: RE: SF [I] ; Mathew Negus ; Alastair Mackinla rtin Zeman ; Davide-A GM ACO, ca

To: Zack Bunimovich , Rita Shte nberg >, Jitan Patel , Nina Tona Cc: Xavier Avila , Liam Osullivan , Mathew Ne us <~~>, Alastair Mackinla , Davide-A Sferrazza <clavicle- , A

From: Xavier Avila Sent: 3/9/2018 10:31:45 AM To: Martin Zeman I CC: Nina Tona-; Zack Bunimovich ; Rita Shte nber • Mathew Negus I • Jitan Patel ; Alastair Mackinlay Davide-A Sferrazza Subject: Re: SF [I] Zack, what is the status on this urgent reque