EFTA01358382.pdf

From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus Akash Malhotra Cc: Joe Aglione Pankaj-A Cho artin Zeman Alka Gopala 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 Pankl-A Chopra Alka Gopala Ian Salters Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem 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: Shawn Stake NCAOTC Derivatives ; Panki-A Chopra lka Gopala ina Ton 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: Akash Malhotra Date: Monday, Apr 16, 2018. 07: 4 To: Xavier Avila Cc: Shawn Striker vatives Pankaj-A Chopra Alka Gopala Subject: KYC Brcach_SOUTHFINANMD_Southcrn Financial, LLC_FFT Location [II CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045988 CONFIDENTIAL SDNY GM_00192172 EFTA01358382