From: - Sent: 5/3/2018 1:59:05 PM To: Subject: dbCAR KYC AFC Escalation - Request ID: LKYCGB-160049, Legal Name: Southern Financial, LLC The request with the following details has been routed to AFC Level I following a KYC assessment in dbCAR Request ID: LKYCGB-160049 Request Type: Extension BR Request Date: 5/3/18 4:54 PM Request Status: Pending-AFCReviewLevel 1 Legal Name: Southern Financial, LLC Request Initiator Name: Phillip Koh Business Relationship Name(s): Markets, Adoption Location Name: GB, Updated by: To find out for more information, - Log on to dbCAR system - From the work basket, open the KYC case with ID LKYCGB-160049 This is a system generated message. Please do not reply to it directly. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046137 CONFIDENTIAL SDNY GM_00192321 EFTA01358431