EFTA01359545.pdf

Southern Financial LLC salesforce.com - Unlimited Edition Page I of 12 4 Close Wndow salestroce.con) 4 Print This Page Expand All I Collapse All Southern Financial LLC Customer Record Client Customer Owner Paul Morris Type Customer Name Southern Financial LLC German PO Relationship SOUTHERN FINANCIAL Created By Komal Shahani. 5/28/2013 10:27 AM RELATIONSHIP • Type Organization Last Modified By Relational Junction, 9/282015 2:13 PI SSN GCIS Customer Number Federal Tax ID # Bank 1 Referral Source • Moderate Risk Name of Referral ' High Risk Source Third Party Referral Risk Reason KYC1195100 Source Risk Rating: .521 CO2 KYC 1082293 Status Active Risk Type Client Since Date 8/26/2013 Volcker Covered Fund? Former Client? Will Appointment Portfolio Gross Estate Management Team Covenant Contact ' Booking Location Preference Switzerland Form K Custom Links View DB Accounts and Revenue ClienVAssets At Risk Create Annual Client Update Request Customer Deletion Log Client Complaint Request ACU Contact Exemptior Request Primary Officer Change Import Documents View Exemption Guidelines Request New Relationship Export Documents Generate Kev Relationship Report Launch NAO Wizard View Documents From Launch ALAI Process Repository Launch Due Diligence View Loan Covenant Details Classification Potential New Unconfirmed Revenue Investor Status Client Investor Status http://pwmintranet.db com/new/filehandler.php? Satisfaction Definitions getFile=us/docs/InvestorStatusAddendum_10_24_07.p Industry • DB is Trustee/Co- Trustee hups://dbforcepb .my.sal esforce.com/00 I 6000000qaNVw/p?retURL=100 16000000qaNVw 9128/2015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047630 CONFIDENTIAL SDNY_GM_00193814 EFTA01359545