EFTA01362927.pdf

From: Martin Zerm Sent: 4/18/2018 10:03:04 AM To: Nina Toneavier Avila Davide-A Sferratz Liam Osullivan Subject: RE: Southern Financial KYC Docs. (II Classification: For Infernal use only The reason why this is stalled now is because Richard Kahn is not responding to my email. I will have Stewart call him today. From: Nina Tona Sent: Wednesda Aril 18 2018 9:41 AM To: Xavier Avila Martin Zema Davide-A Sferrazza •=1 Liam Osullivarl > Subject: RE: Southern Financial - KYC Docs. Ill Classification: For Internal use only Hi Martin — please advise on the below and attached. Thank you Nina Tona KCP produces and StritiCe$ ore intended ond ovailabk only for persons who ore sophisticatedinstitutionalinvestors within the meaning of the PRIM Rule 4511(C)(3). and who ore capable of evaluating the strategies, characteristics and investment auks of, and exercising independent judgment in evaluating, the ideas and products &gusset:herein. Trades and transactions are subject to relevant internal approvals of Mar its affiliates poor to execution, and the execution of any transaction o• idea discussed hereinis conditional on your becoming a client of Deutsche Bank Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein ore provided for discussion purposes only, and strictly on o 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 presentedfor 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 spicily forbidden. This communication does not create any legally binding obligation on the part of MSC or any of its affiliates. From: Nina Tona Sent: Monday, April 16, 2018 10:01 AM To: Xavier Avila >; Martin Zeman Davide-A Sferrazza Liam Osullivan Subject: RE: Southern Financial - KYC Docs. Classification: For Internal use only Xavi — the below info was provided, however Martin needs to get confirmation from client that the info we provided is correct. @Martin — were you able to get the confirmation? Thank you Nina Tona KCP products and services are intended and available onlyfor persons who cue sophisticated institutionalinvestors within the meaning of the FtNRA Rule 4512(C1f3), and who ore capable of evaluating the strategies, charoctensms and investment risks of and exercising independent Judgment in evaluating, the ideas and products discussed herein. Trades CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052640 CONFIDENTIAL SONY GM_00198824 EFTA01362927