EFTA01356050.pdf

From: Paolo De-Leon aMMM Sent: 2/27/2018 9:51:38 AM To: Keith Buckholz Subject: RE: Southern Fin Sounds good, I'll definitely have a chat with Davide and find out where he got these docs. From: Keith Buckholz Sent: Tuesday, February 27, 2018 9:37 AM To: Paolo De-Leon Subject: RE: Southern Classification: For Internal use only You might want to find out where Davide located these docs. Just for our own knowledge. I'll update the OTC Onboarding doc this afternoon (the DDR section). From: Paolo De-Leon Sent: Tuesday, February 27, 2018 9:32 AM To: Keith Buckholz Subject: RE: Southern Financial LLC Yes, sounds good! Davide was pretty efficient with locating and retrieving the necessary docs, so this new process is looking quite promising so far. From: Keith Buckholz Sent: Tuesday, February 27, 2018 9:28 AM To: Paolo De-Leon Subject: RE: Southern Financial LLC II] Classification: For Internal use only Perfect, now we can get this name cleared from the daily margin shortfall/call report. Thanks. Keith From: Paolo De-Leon Sent: Tuesday, February 27, 2018 9:27 AM To: Collateral Admin-NY <milinembeelmimmiLlaienti>; Abhijit Mukh ' < 1> Cc: Keith Buckholz %," . • " ' — " t; CRM-PWM Derivatives > Subject: Southern Financial LLC Hello Abhijit and team, Can you please add this client to the DDR? Attached are the SACA, Pledge Agreements, and other KYC / onboarding docs. Please note that there are two accounts for this client: l anc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041479 CONFIDENTIAL SDNY_GM_00187663 EFTA01356050