EFTA01373151.pdf

Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Te r 4 Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile Email Escalation ' • Back Up: US-CB S-AML---12/1712014 04:31:50 AM---Classification: For internal use only Hello All, Please note that the U6O verification document is s US-CB S-AMUdb/dbcom From: Supth Shettyklb/Obcom@DBAMERICAS. To CAGNY NCAMbrdbcom@DBAMERICAS. Jan VargheseAbAbcom@DBAMERICAS. Marskandan MuralidharanclO4bcomigDBAPAC. US- CB S-AML/PlAbcom@DBAMERICAS Cc 12/17/2014 04 31 AM Date: Re: EDD package for the RID: ONB•120902 LKYCUSG443 Party name - Southern Financial LLC Ill 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-0067190 CONFIDENTIAL SDNY_GM_00213374 EFTA01373151