EFTA01362521.pdf

Liam Sent with BlackBerry Work (www.blackberrv.com) From: Zack Bunimovich 1~IIM> Date: Friday, Mar 30.2018 9:13 AM To: Nina Tona , Xavier Avila Martin Zeman Rita Shteynberg Cc: Liam Osullivan Mathew Negus >, Alastair Mackinlay Era crrazza Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] [I] Classification: For Internal use only Hi Nina, Can you clarify the relationship between Richard Kahn at HBRK Associated and Southern Financial? To the KYC team this note from Richard can seem like a random associate from a different firm is confirming information for Southern. Additionally the team will need confirmation that Richard is an authorized signatory, on the board for Southern, a C- suite executive, or within the Legal department? Thanks, Zack From: Nina Tona Sent: Thursday, March 29, 2018 11:23 AM To: Zack Bunimovich Xavier Avila Martin Zeman Rita Shteynberg Cc: Liam Osullivan Mathew Negus Alastair Mackinlay ; Davide-A Sferrazz Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] [l] Classification: For Internal use only HI Zack, Please see the attached confirmation from the client. Let us know what the next step is. Thank you Nina Tona From: Zack Bunimovich Sent: Tuesday, March 27, 2018 5:53 PM To: Xavier Avil Martin Zeman Rita Shteynberg Titan Patel Cc: Liam Osullivan < Mathew Negus Alastair Mackinlay Davide-A Sferrazza ; Anthony Lentini CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051961 CONFIDENTIAL SONY GM_00198145 EFTA01362521