EFTA01373577.pdf

LI °lent LS Client ID LI Client RDS ID IA Client IA Client ID L4 Client RDS ID Southern Financial Group INC,US Southern Financial Group INCUS I look forward to hearing from you. Kind regards, Isabel. Isabel Gonzalez ICG Sales COO Team Deutsche Bank AG. Fillale London Winchester House. 1 Great Winchester Street Tel: I EC2N 206 London From: Christopher Whyton Sent: 01 February 2017 13:45 To: Vahe Stepanian Cc: Isabel-A Gonzalez; Stewart Oldfield; Alastair Mackinlay; lain Macara Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Thanks Vahe, ok noted. lain — FYI. From: Vahe Stepanian Sent: 01February 2017 13:42 To: Christopher Whyton Cc: Isabel-A Gonzalez; Stewart Oldfield; Alastair Mackinlay Subject: RE: Remediation 2015-2016_ ACO queries.xlsx [I] Classification: For Internal use only Hi Chris - we are actually offboarding Southern Financial in GM. Let us know if you need anything else. Best, Vahe From: Christopher Whyton Sent: Wednesday, February 01, 2017 8:38 AM To: Vahe Stepanian Cc: Isabel-A Gonzalez Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Vahe Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO? Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients without an ACO should be moved to the red list for offboarding. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067838 CONFIDENTIAL SDNY_GM_00214022 EFTA01373577