EFTA01373535.pdf

Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile +91 953853 9721 Email Escalation Point: Back Up:[email protected], US-CB S-AML---12/17/2014 04:31:50 AM---Classification: For internal use only Hello All, Please note that the UBO verification document is s US-CB S-AMUdb/dbcom From: Supth Shettykth/dbcom@DBAMERICAS. To CAGNY NCA/db/dbcom@DBAMERICAS. John VarghesettlAbcom@DBAMERICAS, Mantar4an Muraldharandtt-dbcom©DBAPAC. US- CB S-AML/dtildbcom@DBAMERICAS Cc 12/17/2014 04 31 AM Date: Re: EDD package for the RID ONB-1209O2 LKYCUS-3443 Patty name - Southern Financial LLC II) Subject. Classification: For internal use only Hello All, Please note that the UBO verification document is signed by the alleged UBO himself and may not be accepted as such. Please follow the CB&S U.S. AML Due Diligence Requirements to verify ownership: Obtain information on the organizational structure of the customer to the natural person level (direct or indirect UBOs of 25% or greater). Such information may be obtained through one or more of the following methods: • Organizational Chart OR • Letter/e-mail from Internal Counsel, Compliance Officer or Senior Manager (e.g., Control person) OR • Letter/e-mail from External Counsel OR • Use of publicly available information (e.g., trusted website) OR • Use of documentation (e.g., Registry Filing, legal document, etc.) Should you have any questions, please contact us. Thank you, US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc Compliance CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067773 CONFIDENTIAL SDNY_GM_00213957 EFTA01373535