EFTA01363032.pdf

Thanks, Jesse From: Zack Bunimovich Sent: Monday, May 07, 2018 3:51 PM To: Jesse-J Cruz >; AMLUK Reviews amluk compliance Cc: Kareen Johnson < >; Daniel-A Klyashtorny Subject: RE: Escalation: 0NB-1135648 / LKYCGB-160049 / Southern Financial LLC [II Classification: For Internal use only Classification: For Internal use only Hi AML teams, Can you please revert on the below? Thanks, Zack From: Jesse-J Cruz Sent: Thursday, May 03, 2018 3:05 PM To: AMLUK Reviews < >; amluk compliance Cc: Zack Bunimovich < >; Kareen Johnson Subject: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial 'IC [I] Classification: For Internal use only Hi All, We are performing a principal product extension for Southern Financial, LLC for GED, Convertible Bonds, and Global Credit Derivatives in DBAG. DBcar triggered a high risk rating. Attached is an EDD package comprised of the following: • Searches • Formation documents • Tax document • Correspondence with client emails • Financial statements Please let me know if you need any additional information. Kind regards, Jesse Jay Cruz Analyst Deutsche Bank Securities Inc. Client Data Services I DBUSA Core Corp. 32256 Jacksonville. USA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052865 CONFIDENTIAL SDNY_GM_00199049 EFTA01363032