EFTA01357165.pdf

Reviews Devshiji Odedrj . Subject: RE: Escalation: ONB-l outhern Financial LLC Ill Classification: For In use only Hello all, Do we have BRG approval for this? This is appears to be a cross-jurisdictional adoption from 0BSI to DB AG, furthermore, the LRD for the US is 2016 and does not appear to be in the Remediation pipeline? For Extensions to be approved, AFC UK require: i. BRG approval to consider cross-jurisdictional approvals which result in newly booked High Risk clients ii. The file to be within NRD date and if not, must be within the Remediation pipeline — of which it appears it is neither @CDS colleagues, Please consider the above points, I am happy to further explain on the phone to assist our business colleagues & clients expectations. @Martin I will keep you updated on the progress made. Many thanks all, fames Gladwin AFC Business Advisory Anti-Financial Crime DBOI Global Services (UK) Limited 5 Brindley Place, Birmingham, B1 21B, United Kingdom IA Please consider the environment before printine the; email From: Martin Zeman Sent: 08 May 2018 20:27 To: Zack Bunimovich AMLUK Reviews Jesse-J Cruz MN Ins; James Gladwin Cc: Kareen Johnson >; Daniel-A Klyashtorny " " Nina Tona ; Xavier Avila Davide-A Sferrazza u je : : sca a ion: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [II Classification: For Internal use only James — responding to your questions below. The extension is permanent. Southern Financial LLC trade global macro and are looking to buy CDX IG payer spreads as a hedge for their overall equities and fixed income portfolio they trade with DB. The initial size is around $100M. Please call me if you need any more details. This is a priority for our desk. Thank you. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043543 CONFIDENTIAL SDNY_GM_00189727 EFTA01357165