+44 20 754.58750 Mobile +44 7956-301-002 Email rimmy-h.xue4db.com From: Xavier Avila Sent: 17 April 2018 02:30 To: Jimmy-H Xu ›; Mathew Negus Akash Malhotra c: oe A tone an ters Nina Tona Pankaj-A Chopra NCAOTC Derivatives Zeman Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial,

Frankfurt location guidelines. Summit screenshot: Trade Details Trade Type Trade ID Version Subtype Amernoi Status CCY'SINAP IMOE& Regards Akash Malhotra Associate I Client on Boarding Book Broker Currency Currency per Canteal Calvary Customer Verifoi L4:1,..SsAn U SD EJn N CELA3 E.Oll- .1FI

Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 & A-2. Evolve - Mahindra Technology Park, Inside

Mathew Negus Director I ICG Business Management From: Nina Tona Sent: Tuesday, April 17, 2018 8:32 AM To: Mathew Ne imm -H Xu Xavier Avila Akash Malhotra ; Ian Salters 'ankaj-A Chopra NCAOTC Derivatives Martin Zeman Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Loca

guidelines. Summit screenshot: Trade Details Trade Type Triode ID Version SubType Mired Fiats SWAP (31757141. 5 CCY.WJAP 1X14 16 Regards Akash Malhotra Associate I Client on Boarding Beck Brow Custency Care ley par Cadet& Ctenckety Voiced LAG_SVAPS USD.EUR DBOI Global Services Private Limited

ation guidelines. Summit screenshot: Trade Details Trade Type Trade ID Versecr SubTyre ;needed Stabs SWA° I GT75714. l 5 CCYStreP Regards Akash Malhotra Associate I Chard on Boarding 116412018 Bock Broker arnerey Currency parr Candace Company Le6SWOPS USD.EUR CIBOI Global Services Private Li

From: Sent: To: CC: Nina Tona 4/17/2018 8:32:04 AM Mathew Negus immy-H Xu ; Xavier Avila Akash Malhotra Joe Aglione Ian Salters Pankaj-A Chopra NCAOTC Derivatives ; Martin Zeman Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial,

provide dots, if not we move this to London where client is onboarded? Thanks Xavier Avila Managing Director Deutsche Bank Securities Inc From: Akash Malhotra Date: Monday, Apr 16, 1.11 To: Xavier Avila Cc: Shawn Stakma, NCAOTC Derivatives Alka Gopala Subject: KYC Brcach_SOUTHFINANMD_Southem Financial

1 Great Winchester Street, EC2N 2DB London, United Kingdom Tel. Mobi Emai From: Xavier Avila mailu Sent: 16 April 2018 17:55 To: Mathew Nessus Akash Malhotra , Pankaj-A Zeman Alka Gopala Ian Salters Pankaj-A Cho ra NCAOTC De ' rivativ ;Martin Cc: Joe Aglione Subject: RE: KYC Breach_SOUTHF1NANMD_

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Xavier Avila Sent: 17 April 2018 02:30 To: Jimmy-H Xu Cc: Joe Aglione Pankaj-A Cho. Zeman Subject: Done, thanks. reac >; Mathew Negus .c ?; Akash Malhotra Salters >; Nina Tona <a; >; NCAMWI s <e; Martin ; Alka Gopala THFINANMD_Southem Financial, LLC_FFT Location [1] Are all the XCCYs generally bo

ets Winchester House, 1 Great Winchester Street, EC2N 2DB London, United Kingdom From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus ; Akash Malhotra Martin Zeman Pankaj-A Cc: Joe Aglione ; Ian Salters M~~; Nina Tona <~~,; Pankaj-A Chopra NCAOTC Derivatives >, Martin Zeman c ill~»; Alka G

n guidelines. Summit screenshot: Trade Details Trace Type Trade ID Version Sc6Type Migrated SVAtiP G1757141. 5 CCYSktge 1104,2015 Regards Akash Malhotra Associate I Chard on Boarding ors Verified Book Broeer Currency Currency pa's Collateral Conpary LAG,„SWAPS USIEUR DBOI Global Services Pr

From: Sent: Xavier Avila 4/16/2018 9:30:18 PM To: Jimmy-H Xu I ; Mathew Negus I I; Akash Malhotra CC: Joe Aglione I; Ian Salters I ; Pankaj-A Chopra I ; NCAOTC Derivatives I; Martin Zeman I ; Alka Gopala Subject: RE: KYC Breach SOUTHFIN

From: Jimmy-H X Sent: 4/17/2018 2:53:54 AM To: Xavier Avila Mathew Negus ; Akash Malhotra CC: Joe Aglione an Sake Nina Tona ankaj-A Chopra NCAOTC Derivatives ]; Martin Zeman Alka Copula Subject: RE: KYC Breach SOUTHFINANMD Southe

From: Akash Malhotra Date: Monday. Apr 16, 2018, 07:34 To: Xavier Avila <: Cc: Shawn Stakcr ,NCAOTC Derivatives Pankaj-A Chopra Alka Gopala Subject: KYC Brcach_SOU

g obligation on the part of 0851 or any of its affiliates. From: Mathew Negus Sent: Tuesday, April 17 2018 7:11 AM To: Jimmy-H Xu ; Xavier Avila Akash Malhotra c: oe lone ters Nina Tona Pankaj-A Chopra ; NCAOTC Derivatives Zeman Alka Gopala Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC

Regards Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 & A-2 Evolve - Mahindra Technology Park, Inside