EFTA01357154.pdf

Cc: Kareen Johnson Daniel-A Klyashtorny Zack Bunimovich Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] Classification: For Internal use only James/Helen, Can you assist with this request? Please make top priority. Thanks, Jesse From: Zack Bunimovich Sent: Monday, May 07, 2018 3:51 PM To: Jesse-1 Cruz AMLUK Review amluk compliance < Cc: Kareen Johnson Daniel-A Klyashtorny Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] Classification: For Internal use only Classification: For internal use only Hi AML teams, Can you please revert on the below? Thanks, Zack From: Jesse-1 Cruz Sent: Thursday, May 03, 2018 3:05 PM To: AMLUK Reviews amluk compliance Cc: Zack Bunimovich • ; Kareen Johnson Subject: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [I] Classification: For Internal use only Hi AU, We are performing a principal product extension for Southern Financial, LLC for GED, Convertible Bonds, and Global Credit Derivatives in DBAG. DBcar triggered a high risk rating. Attached is an EDD package comprised of the following: • Searches • Formation documents • Tax document • Correspondence with client emails • Financial statements CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043523 CONFIDENTIAL SDNY GM_00189707 EFTA01357154