EFTA01356155.pdf

From: Paolo De-Leon Sent: 2/27/2018 10:11:29 AM To: Keith Buckholz Subject: RE: Southern Financial LLC (I] Davide has confirmed to me that those docs were provided to him from the banking team. Once he submits a request for those docs it usually takes a few days to get them turned around. Thanks. From: Keith Buckholz Sent: Tuesday, February 27, 2018 9:37 AM To: Paolo De-Leon < Subject: RE: Southern Financial LLC Classification: For Internal use only You might want to find out where Davide located these docs. Just for our own knowledge. I'll update the OTC Onboarding doc this afternoon (the DDR section). From: Paolo De-Leon Sent: Tuesday, February 27, 2018 9:32 AM To: Keith Buckholz < Subject: RE: Southern Financial LLC Yes, sounds good! Davide was pretty efficient with locating and retrieving the necessary docs, so this new process is looking quite promising so far. From: Keith Buckholz Sent: Tuesday, February 27, 2018 9:28 AM To: Paolo De-Leon < Subject: RE: Southern Financial LLC (I) Classification: For Internal use only Perfect, now we can get this name cleared from the daily margin shortfall/call report. Thanks. Keith From: Paolo De-Leon Sent: Tuesday, February 27, 2018 9:27 AM To: Collateral Admin-NY <coliateral.admin-n Wdb com>; Abhijit Mukherjee Cc: Keith Buckholz < >; CRM-PWM Derivatives <[email protected]> Subject: Southern Financial LLC Hello Abhijit and team, Can you please add this client to the DDR? Attached are the SACA, Pledge Agreements, and other KYC / onboarding docs. Please note that there are two accounts for this client: N4G025403 and N4G026161. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041764 CONFIDENTIAL SDNY_GM_00187948 EFTA01356155