EFTA01363055.pdf

Jimmy-H Xu Cross Currency Swap Trading Deutsche Bank AG, Filiale London CB&S - Markets Winchester House. 1 Great Winchester Street. EC2N 2DB London. United Kingdom From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus < , Akash Malhotra < ; Cc: Joe Aglione Ian Salters >. Nina Tona ; Pankaj-A Chopra ; NCAOTC Derivatives ; Martin Zeman a opals Mila Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Shawn, MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9.03 AM To: Xavier Avila Akash Malhotra Cc: Shawn Staker ; NCAOTC Derivatives ; Pankaj-A Chopra ; Alka Gopala ; Nina Tona Ian Salters ‘ ; Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Classification: For Inbmal ties 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: Shawn Staker NCAOTC Derivatives ; Pankaj-A Chopra ; Alka Gopala ina 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052903 CONFIDENTIAL SONY GM_00199087 EFTA01363055