I truly appreciate the time and knowledge that has been shared and look forward to our conversations next week as to support each other. Many thanks all, lames Gladwin AFC Business Advisory Anti-Financial Crime DBOI Global Services (UK) Limited A Please consider the environment before printine thi: email From: James Gladwin Sent: 10 May 2018 09:47 >; Zack Bunimovic >; Jesse-1 Cruz= Cc: Kareen Johnso >; Daniel-A Klyashtorny < >; Nina Tona vier vi a < Davide-A Sferrazza ; AMLUK Reviews a Devshiji Odedra Subject: RE: Escalation: ONB-1135648 / LKYCGB-16O049 / Southern Financial LLC [II Classification: For Internal use only Hello all, Do we have BRG approval for this? This is appears to be a cross-jurisdictional adoption from DBSI to DB AG, furthermore, the LRO for the US is 2016 and does not appear to be in the Remediation pipeline? For Extensions to be approved, AFC UK require: i. BRG approval to consider cross-jurisdictional approvals which result in newly booked High Risk clients ii. The file to be within NRD date and if not, must be within the Remediation pipeline — of which it appears it is neither @CDS colleagues, Please consider the above points, I am happy to further explain on the phone to assist our business colleagues & clients expectations. @Martin I will keep you updated on the progress made. Many thanks all, lames Gladwin AFC Business Advisory CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052862 CONFIDENTIAL SDNY_GM_00199046 EFTA01363029