Anthony Lentini
From: Liam Osullivan
Sent Friday, March 30, 2018 10:32 AM
To: Zack Bunimovich; Nina Tona; Xavier Avila; Martin Zeman; Rita Shteynberg
Cc: Mathew Negus; Alastair Mackinlay; Davide-A Sferrazza; Anthony lentini
Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding
[CI [I]
Attachments: Southern Financial Operating Agreement.pdf
Zack,
Richard is on the board of Southern Trust Co. Southern Trust Co. is the sole member of Southern Financial
LLC. The first page of the attached lays out the relationship between Southern Trust Co. and Southern
Financial LLC. The 16th page named Richard as member of the board of'Sourhem Trust Co.
Thanks
Liam
Sent with BlackBerry Work
(www.blackberry.com)
From: Zack Bunimovich
Date: Friday. Mar 30 2018 9:13 AM
To: Nina Tona Xavier Avila Martin Zeman Rita
Shte> nberg
Cc: Liam Osullivan , Math w N , Alastair Mackinlay
Davide-A Sferrazza , Anthony Lentini
Subject: RE: Southern Financial LLC - KYC and credit derivativeslconvertible bonds onboarding ICI Ill
Classification: For Internal use only
Hi Nina,
Can you clarify the relationship between Richard Kahn at HBRK Associated and Southern Financial? To the KYC team this
note from Richard can seem like a random associate from a different firm is confirming information for Southern.
Additionally the team will need confirmation that Richard is an authorized signatory, on the board for Southern, a C-
suite executive, or within the Legal department?
Thanks,
Zack
From: Nina Tona
Sent: Thursday, March 29, 2018 11:23 AM
1
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059915
CONFIDENTIAL SDNY_GM_00206099
EFTA01368246