EFTA01362752.pdf

From: Zack Bunimovich Date: Friday, Mar 30, 201 To: Nina Tona Xavier Avila •: >, Martin Zeman Rita Slitcynbcrg Cc: Liam Osullivan Mathew N us < Alastair Mackinlay crrazza n ny Lentini Subject: RE: Southern Financial LLC - KYC and credit dcrivati‘es/com edible bonds onboarding ICI Classification: For Internal use only Hi Nina, Can you clarify the relationship between Richard Kahn at HBRK Associated and Southern Financial? To the KYC team this note from Richard can seem like a random associate from a different firm is confirming information for Southern. Additionally the team will need confirmation that Richard is an authorized signatory, on the board for Southern, a C- suite executive, or within the Legal department? Thanks, Zack From: Nina Tona Sent: Thursday, March 29, 2018 11:23 AM To: Zack Bunimovich ; Xavier Avila Martin Zeman Cc: Liam 0sullivan ; Mathew Negus ; Alastair Mackinlay Davide-A Sferrazza Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding IC] Ill Classification: For Internal use only Hi Zack, Please see the attached confirmation from the client. Let us know what the next step is. Thank you Nina Iona From: Zack Bunimovich Sent: Tuesday, March 27, 2018 5:53 PM To: Xavier Avila Martin Zeman Rita Shteynberg ; itan ate < Nina Tona Cc: Liam Osullivan ; Mathew Negus ; Alastair Mackinlay Davide-A Sferrazza Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding IC) (I) Classification: For internal use only Hi Xavier, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052335 CONFIDENTIAL SDNY_GM_00198519 EFTA01362752