Sheetl
Account name RMS GDP (Internet) Pershing / G + Account Status Account Type Account I
Account Owner Is the Client Expected to Trade uncleared OTC derivatives in the coming months? (Yes
/No)
In Scope Products - OTC Derivatives (non-cleared swaps) e.g., interest rate swaps, credit swaps, eq
uity swaps, NDFs, FX Options, FX Forwards (added by the business) Can the account be closed (e
.g., It is not anticipated that the client will trade uncleared OTC derivatives or other products)
(Yes/No)
Southern Financial LLC SOFL No Acct 4 KCP
Stewart Oldfield No Yes
Southern Trust Company INC SOTC No Acct M KCP N4G0
23812 Stewart Oldfield No Yes
PLEASE NOTE: BOTH ACCOUNTS ARE ALREADY CLOSED.
Yes
No
EFTA01419132
EFTA01419133
EFTA01419134