EFTA01406776.pdf

Subject: RE: Southern Financial - KYC Docs. [I] From: Nina Tona dc l> Date: Thu, 12 Apr 2018 12:15:57 -0400 To: Zack Bunimovich Martin Zeman Cc: Anthony Lentini Classification: For internal use only Zack — just to confirm, the below info provide is sufficient or do we need to get it directly from client? Thank you Nina Tona KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. EFTA01406776 From: Zack Bunimovich Sent: Thursday, A ril 12 2018 12:04 PM To: Nina Tona ; Martin Zeman .M .> Cc: Anthony Lentini Subject: RE: Southern inancia ocs. [I] Classification: For internal use only Hi Nina, The team hasn't informed me of anything else. Verification said the NOB provided below will suffice, however (as with the other information) they will need this to either come from the client, or to be confirmed by the client. Thanks, Zack From: Nina Tona Sent: Thursday, April 12, 2018 10:27 AM To: Zack Bunimovich <M M:.; Martin Zeman Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Thanks, Zack. Is there anything else pending besides the below. Thank you EFTA01406777 Nina Tona KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Zack Bunimovich Sent: Thursday Aril 12 2018 10:26 AM To: Nina Tona ; Martin Zeman Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Hi Nina — I can see if this works. Thanks, Zack EFTA01406778 From: Nina Tona Sent: Thursday, April 12 2.1 :4 AM To: Zack Bunimovich ; Martin Zeman u jec : : ou ern Financial - KYC Docs. [I] Classification: For internal use only Hi Zack, Please see below. DOB for the Legal Reps o Darren K. Indyke o Richard Kahn Clarification of the NOB. o The NOB provided in the Articles of Organization and Operating Agreement is too vague. Please provide more detailed explanation of NOB. Private investment vehicle; allocates capital across various asset classes and trading strategies. Thank you Nina Tona EFTA01406779 KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Zack Bunimovich Sent: Wednesday, A ril 11, 2018 5:50 PM To: Martin Zeman ; Nina Tona ‹ > Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Hi Martin, Verification asked for two more points of information — see below. DOB for the Legal Reps o Darren K. Indyke EFTA01406780 o Richard Kahn Clarification of the NOB. o The NOB provided in the Articles of Organization and Operating Agreement is too vague. Please provide more detailed explanation of NOB. Thanks, Zack From: Martin Zeman Sent: Tuesday, April To: Zack Bunimovich ; Nina Tona ‹ > Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Zack See the attached email chain where we established that a FATCA form was not needed. Martin From: Zack Bunimovich Sent: Monday, April 09 2018 11:47 AM To: Martin Zeman ; Nina Tona Subject: FW: Southern Financial - KYC Docs. [I] Classification: For internal use only EFTA01406781 Hey Martin / Nina, Southern Financial is with Verification but they noticed that we do not have a CRS Self Certification form on file anymore from previous onboardings. We are usually looking for something similar to the attached format, but it's possible that the client has provided this before and has their own template. Can this be requested from the client? Thanks, Zack From: Anthony Lentini Sent: Monday, April 09, 2018 10:51 AM To: Zack Bunimovich Subject: Southern Classification: For internal use only Hi Zack, An update on Southern Financial, it is with Verification and they are reviewing right now. While they were going through their review they noticed that the CRS Self Cert file from a previous onboarding is no longer on file/- in the system. Could you please send over a new CRS Self Cert so they can proceed with their review? Apologies for the inconvenience. Kind Regards, EFTA01406782 {cid:1 [email protected]} Anthony Lentini Client Data Services I COO DBUSA Core Corp. 5201 Gate Parkway Jacksonville FL32256 Tel.: E-mail: EFTA01406783