EFTA01362909.pdf

Martin Zeman ; Nina Tona Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [II Classification: For Internal use only +Nina From: Zack Bunimovich Sent: Tuesday, May 08, 2018 10:21 AM To: AMLUK Reviews Jesse-J Cruz James Gladwin Cc: Kareen Johnso ; Daniel-A Klyashtorny Martin Zeman Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC Ilj Classification: For Internal use only Hi James, For ii, this is a permanent extension. Martin — can you advise on the questions from James in i. below? Thanks, Zack From: James Gladwin On Behalf Of AMLUK Reviews Sent: Tuesday, May 08, 2018 10:18 AM To: Jesse-lCruz James Gladwin Cc: Kareen Johnson Daniel-A Klyashtorny Zack Bunimovich AMLUK Reviews Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC III Classification: For Internal use only Hi both, I am happy to help. Just a couple of immediate questions to help expedite this: i. What is the business purpose for the extension? a. Elaborate on key details including; booked trades, expected volumes ii. Is the extension request permanent or temporary? a. Please provide activation/closure dates if temporary FYI, Helen has been removed from the chain as she has left the bank. AMLUK.COMPLIANCE has been removed, AMLUK.REVIEWS primarily work extensions/reactivations now alongside our PRs/EDRs and not the aforementioned team. Many thanks! - imagd)0 1.gul CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052594 CONFIDENTIAL SDNY_GM_00198778 EFTA01362909