EFTA01362678.pdf

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 ,S>: Martin Zeman Cc: Liam Osullivan >; Alastair Mackinlay >; Anthony lentini Subject: RE: Southern Financial LLC KYC and credit derivatives/convertible bonds onboarding (C] (I) 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 bona From: Zack Bunimovich Sent: Tuesday, March 27, 2018 5:53 PM ; Martin Zeman Rita Shte nberg Man Patel < >; Nina Tona Cc: Liam Osullivan Mathew Ne us >; Alastair Mackinlay >; Davide-A Sferrazza ; Anthony Lentini Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding (Cl [II Classification: For Internal use only Hi Xavier, I believe Martin was reaching out to Southern to obtain one more confirmation regarding the KYC information that was provided. We spoke last week. Thanks, Zack From: Xavier Avila Sent: Tuesday, March 27, 2018 4:01PM To: Martin Zeman < >; Zack Bunimovich < >; Rita Shteynberg Cc: Liam Osullivan ; Mathew Negus ; Alastair Mackinlay CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052227 CONFIDENTIAL SDNY_GM_00198411 EFTA01362678