From: Xavier Avila Sent: 16 April 2018 17:55 To: Mathew Negus Cc: Joe Aglione Pankaj-A Cho Zeman Alka Gopala Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Akash Malhotra Shawn, MO, is it ok to move this trade to London pls? From: Mathew Negus Sent: Monday, April 16, 2018 9:03 AM To: Xavier Avila Akash Malhotra Cc: Shawn Staker NCAOTC Derivatives Chopra Alka Gopala Ian Salters Martin Zeman Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Classification: For Internal use only I would re-book to London if the desk agrees. artin Pankl -A From: Xavier Avila Sent: Monday, April 16, 2018 7:44 AM To: Akash Malhotra lka Gopala NCAOTC Derivatives ; Panki-A Chopra ; Martin Zeman ina Ton Ian Salters Mathew Negus Cc: Shawn Stake Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I] Negus, what do we do with the below? If easy extension to OTC Rates FFT we can provide docs, if not we move this to London where client is onboarded? Thanks Xavier Avila Managing Director Deutsche Bank Securities Inc From: Akash Malhotra Date: Monday, Apr 16, 2018. 07: 4 To: Xavier Avila Cc: Shawn Striker vatives Pankaj-A Chopra Alka Gopala Subject: KYC Brcach_SOUTHFINANMD_Southcrn Financial, LLC_FFT Location [II CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045988 CONFIDENTIAL SDNY GM_00192172 EFTA01358382