EFTA01363003.pdf

Cc: Shawn Stalker Ma, NCAOTC Derivatives , Pankaj-A Chopra < >, Alka Gopala Subject: KYC Brcach_SOUTHFIIIIMPAancial. LLC_FFT Location Ill Classification: For Internal use only Hi Alex, For adoption location Frankfurt, the following trade has been booked in Summit application for OTC Derivative Product, details as follows: Trade ID: G175714L Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 Client Name: Southern Financial, LLC We have got your name as a sales person from Summit application. We have observed that the client is not adopted for Frankfurt location, which results in a KYC violation. In order to comply with DB's internal policies and procedures, all KYC requirements now have to be fulfilled, if the trade should stand against Deutsche Bank Kindly review your trade and where possible, please consider to rebook the trade to an adoption location, where the client is already adopted for OTC Derivative product or confirm if it is a valid trade for the particular location. Upon your confirmation, we will review the client and would request the missing documents to be obtained from the client/business as per Frankfurt location guidelines. Summit screenshot: Trade Details Trade Type Trade ID 'mitt: S,ibType ;encoded ' S:atia Bo:* Esker Csrency Curre-cy par :die-teal CCenpally CcMORIEI 51.5tAP *G125714L 5 CC .. 13,412018 LAG SWAPS US0.EIJR sotrniri6uusto Regards Akash Malhotra Associate I Client on Boarding DBOI Global Services Private Limited Global Business Services A-1 & A-2. Evolve - Mahindra Technology Park. Inside Malindra World City - SU. 302O29 Jaipur. India Tel. Em Escalations Contact:- This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0052793 CONFIDENTIAL SDNY_GM_00198977 EFTA01363003