EFTA01363052.pdf

From: Mash Malhotra Sent: 4/17/201810:19:48 AM To: Nina Tona Mathew Negus Jimmy-H Xu Xavier Avila CC: Joe Aglione Ian Salters • Pan a•-AC o ra NCAOTC Derivatives Martin Zeman ; Atka Gopala Subject: RE: KYC Breach SOuTHFINANMD_Southem Financial, LI.C_FFT Location Classification: For SKS use only Hi Xavier, The trade is still reflecting under FFT location. Request you to action and confirm Trade Type Trade ICI Vanim SubType Amended t Spew Bock B Currency C CoeMetal COMPVY C‘Jat Deal ID Desk 1.//;.5.1APS JiCE R !I DB /NG son-immix, OTC_LN I Quote From: Xavier Avila a Sent: 16 April 2018 17:55 To: Mathew Ne Akash Mall Cc: Joe Aglione Ian Salters in eman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Shawn, MO, is it ok to move this trade to London pls? Unquote Regards Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 - - • dra Technology Park, Inside MaNndra World City - SEZ, 302029 Jaipur, Intim Tel. Emai Escalations Contact: From: Nina Tona Sent: Tuesday, April 17, 2018 6:02 PM To: Mathew News Jimm -H Xu Xavier Avila ; Akash Malhotra Cc: Joe Aglione Ian Salters Pankaj-A Chopra enva ives Martin Zeman Alka Gopala Subject: RE; KYC Breach_SOUTHFIN ou ern inancial, LLC_FFT Location [I] CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052900 CONFIDENTIAL SONY GM_00199084 EFTA01363052