EFTA01363002.pdf

1 Great Winchester Street, EC2N 2DB London, United Kingdom From: Xavier Avila [mai I io Sent: 16 April 2018 17:55 To: Mathew Ne s Akash Malhotra Cc: Joe Aglione Nina Tona Pankaj-A Cho r ra AOTC Derivatives ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: X vi r Avila Akash Malhot Cc: ; NCAOTC Derivatives ; Pankaj-A Chopra a opala Ian Salters Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC FFT Location [I] Classification: For Internal use only I would re-book to London if the desk agrees. From: Xavier Avila Sent: Monday, April 16 2018 7:44 AM To: Akash Malhotra Cc: ; NCAOTC Derivatives Pankaj-A Chopra ; Alka Gopala Nina Tona Ian Salters Mathew Negus Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Thanks Xavier Avila Managing Director Deutsche Bank Securities Inc From: Mash Malhotra S IM= Date: Monday, A r 16 To: Xavier Avila CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052792 CONFIDENTIAL SONY GM_00198976 EFTA01363002