EFTA01373668.pdf

From: Kerrian Gordo Sent: 1/16/2015 • • To: Wayne Sall Subject: FW: SouthernFinancial tIC - ) Classification: Confidential Kind regards, Kerrian Gordon Kerrian Gordon AML - Compliance Deutsche Bank Securities Inc. 60 Wall Street New Yolk, NY 10005 Tel. (212) 250-0961 Email kerrian oordonQdb.corn From: Dmitri Saks Sent: Friday, December 19, 2014 11:17 AM To: Wayne Salit Subject: Southern Financial LLC - EDD [C] Classification: Confidential Wayne, Enhanced Due Diligence was conducted on Southern Financial LLC, a Private Investment Vehicle incorporated in the U.S. Virgin Islands, which is a Level II country, as the result of a New Client Adoption request to open a Global Markets relationship. The below is for your review and approval. Nature of Escalation — • The escalation is due to the client being a Private Investment Vehicle, which is considered High risk. Note: The documentation for this account is available for review on the shared drive via the following path: L:\Central_Functions_Compliance\Comp-nyseccomWarela\AML\Pending Investigations, EDD, EDRs\Southern Financial LLC\ Research Findings (LEXIS/GOOGLE SEARCHES) - CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067974 CONFIDENTIAL SDNY_GM_00214158 EFTA01373668