Hey — can this be sent downstream now for the GED, GCD, and CB parts?
Thanks,
Zack
From: Martin Zeman
Sent: Thursday, M
To: James Gladwin
Daniel-A Klyashtorny Nina Tona
>; Xavier Avila < Davide-A Sferrazza ; AMLUK
Reviews t. I ' ; Devshiji Odedra <ckvshikodedra@ib.com>; Ian Salters
Simon Nall < Patel <= a; Jesse-1 Cruz • Zack
Bunimovich
Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC III
Classification: For Internal Use only
James, thank you.
Zach — please let us know next steps and timing to complete this extension for Southern Financial LLC,
Martin
From: James Gladwin
Sent: Wednesday, May 16, 2018 10:19 AM
To: Martin Zeman <martin.zeman2db.com>
Cc: Kareen Johnson <kareen.johnson@db.com>; Daniel-A Klyashtorny <daniel-a.klyashtorny@db.corn>. Nina Tona
<nina.tona@db.com>; Xavier Avila <xavier.avila(adb.com>; Davide-A Sferrazza cdavide-a.sferrazza@db.com>; AMLUK
Reviews camluk.reviews@db.com>; Devshiji Odedra <devshiji.odedra@db.com>; Ian Salters cian.salters@db.com>;
Simon Nall <simon.nall@db.com>; Ricky-x Patel cricky-x.patel@db.com>; Jesse-J Cruz <jesse-i.cruz@db.com>; Zack
Bunimovich <zack.bunimovich@db.com>
Subject: RE: Escalation: ONB-1135648 / LKYCGB-160049 / Southern Financial LLC [Il
Classification: For Internal use only
Hello all,
After liaising with Global CDS teams and specialist colleagues, UK AFC have identified the key barriers and now duly
approved the Extension request.
I am happy to confirm that a BRG approval will NOT be necessary for this Extension.
For the sake of clarity and knowledge sharing it would be prudent to share a brief summary of the cause and resolution
of such. I am more than happy to discuss and expand further via telephony should it be requested.
i. Extension request was received by UK AFC and upon our initial review of the request it was apparent that there
was no UK adoption within the dbCAR system, therefore AFC queried the requirement of a BRG review
ii. Post investigation identified UK products had been booked WITHOUT a UK adoption — a never seen before
scenario
iii. Escalations to local policy colleagues and global CDS teams had also never seen such a scenario. Two cause
theories were presented;
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052860
CONFIDENTIAL SDNY_GM_00199044
EFTA01363027