EFTA01362836.pdf

From: Nina Tona Sent: 4/18/2018 9:41:18 AM To: Xavier Avila I ; Martin Zeman ; Davide-A Sferrazza [clavicle- , Liam Osullivan Subject: RE: Southern Financial - KYC Docs. (II Attachments: CRS + UK FATCA Entity Self Cert.pdf Classification: For Internal use only Hi Martin — please advise on the below and attached. Thank you Nina Tona KCP products and services are wended and available only for persons who ore sophisticatedinstitutionalinvestors within the meaning of the FINRA Rule 4512(C)(31 and who ore capable q evaluating the strategies, charoctenstics and investment risks cf. and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions ore subject to relevant internal approvals of WiStor Its affiliates prior to execution, and the exteution of any ramie:Khoo a idea discussed!rein Is conditional on your becoming a diem of Deutsche Ronk Key Client Partners (KCP) products, Investment ideas and solutions and related mutters discussed hereon ore provided for discussion purposes only, and strictly on a non- advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presentedfor your information andfor discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in port) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the port of 0851or any of its affiliates. From: Nina Tona Sent: Monday, April 16, 2018 10:01AM To: Xavier Avila ; Martin Zeman < >; Davide-A Sferrazza ; Liam Osullivan < Subject: RE: Southern Financial - KYC Docs. Classification: For Internal use only Xavi — the below info was provided, however Martin needs to get confirmation from client that the info we provided is correct. @Martin — were you able to get the confirmation? Thank you Nina Tona KCP products and services ore intended and available oniy for persons who ore sophisticatedinsniutionol investors within the meaning of the FiNRA Rule 4512(C)(3), and who are capable q evaluating the strategies, characteristics and investment risks q, and exercising independent judgment enevaluating, the ideas and products discussed herein. Trades and transactions ore subject to relevant internal approvals of 08St or its affiliates prior toexecution, and the execution of any transaction or idea discussed hereinis conditional on your becoming a client of Deutsche Rank Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein ore providedfor discussion purposes only, and strictly on a non- advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential andpersonal to you and is being presentedfor your information andfor discussion purposes only. My reproduction and/or redistribution thereof (in whole or in port) or disclosure of its content without our written consent is strayforbidden. This communication does not create any legally binding obligation on the port of DEISl or any of its affiliates. From: Xavier Avila Sent: Sunday, April • To: Martin Zeman Nina Tona < >; Davide-A Sferrazza CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052461 CONFIDENTIAL SDNY_GM_00198645 EFTA01362836