EFTA01399702Set 10
2018-04-1712p1,565w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Tue, 17 Apr 2018 14:58:46 -0400
To: Mathew Negus
Nina Tona ... Tona
Cc: Ian Salters , Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Yep Thursday let's catch up.
There ... Tona
Cc: Ian Salters ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
2028
We will need most of our clients trading XCCY business...so lets
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399702.pdf
EFTA01406871Set 10
2018-04-1710p1,259w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Tue, 17 Apr 2018 10:17:15 -0400
To: Mathew Negus
Nina Tona ... Avila
Cc: Ian Salters Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Extension to FFT goes to US Case Management ... NCAOTC Derivatives
; Martin Zeman Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Mat — let me know if I can help
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406871.pdf
EFTA01406895Set 10
2018-04-1711p1,407w
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
From: Mathew Negus 1.11.1.0..M>
Date: Tue, 17 Apr 2018 10:44:22 -0400
To: Xavier Avila
Nina Tona ... Salters a , Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Extension to FFT goes to US Case Management.
What ... Derivatives
ar in eman < >; Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Classification: For internal use only
Mat — let me know if I can help
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406895.pdf
EFTA01406881Set 10
2018-04-179p1,194w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Mathew Negus
Date: Tue, 17 Apr 2018 09:10:47 -0400
To: Nina Tona
Xavier Avila ... Salters
Martin Zeman
Classification: For internal use only
Extension to FFT goes to US Case Management.
What's the mat date on the xccy swap?
Mathew Negus
Director ... NCAOTC Derivatives
; Martin Zeman ; Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
Mat — let me know if I can help
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406881.pdf
EFTA01406955Set 10
2018-04-1710p1,258w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
From: Akash Malhotra
Date: Tue, 17 Apr 2018 10:19:48 -0400
To: Nina Tona
Mathew Negus
Jimmy ... Gopala
Classification: For internal use only
Hi Xavier,
The trade is still reflecting under FFT location. Request you to action and
confirm.
fcid:image003.png@OlD3D685.2E5C94501
Quote
fcid:image004.png@OlD3D685.2E5C94501
Unquote ... NCAOTC Derivatives
; Martin Zeman < :.; Alka Gopala
>
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Classification: For internal use only
Mat — let me know if I can help
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406955.pdf
EFTA01406857Set 10
2018-04-179p1,128w
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
From: Nina Tona
Date: Tue, 17 Apr 2018 08:32:04 -0400
To: Mathew Negus
Jimmy-H Xu
Xavier ... NCAOTC
Derivatives ; Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC FFT Location [I]
I'll check who should handle the product extension to FFT. I expect ... Martin Zeman
NCAOTC
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
In general, everything should face FFT and other booking centres
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406857.pdf
EFTA01406845Set 10
2018-04-178p952w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Mathew Negus
Date: Tue, 17 A r 2018 07:10:33 -0400
To: Jimmy-H Xu
Xavier Avila ... Martin Zeman
Alka Gopala
I'll check who should handle the product extension to FFT. I expect it will
be the US team.
Jimmy, FYI, I still see mostly London ... NCAOTC
Derivatives , Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
In general, everything should face FFT and other
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406845.pdf
EFTA01406948Set 10
2018-04-177p792w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Jimmy-H Xu
Date: Tue, 17 Apr 2018 02:53:54 -0400
To: Xavier Avila
Mathew Negus
Akash ... Martin Zeman
Alka Gopala
Classification: For internal use only
In general, everything should face FFT and other booking centres are only
used in exceptional circumstances I believe
Thanks
Kind regards ... NCAOTC
Derivatives ; Martin Zeman •
Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406948.pdf
EFTA01406915Set 10
2018-04-166p681w
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Mon, 16 Apr 2018 21:30:18 -0400
To: Jimmy-H Xu
Mathew Negus
Akash ... Done, thanks.
Are all the XCCYs generally booked and clients KYCed in DB AG FFT? What
about EUR and GBP vanilla and inflation swaps? We might have some of those ... coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From: Jimmy-H Xu
Date: Monday, Apr 16, 2018, 11:56
To: Xavier Avila Mathew
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406915.pdf
EFTA01406890Set 10
2018-04-165p615w
Subject: RE: KYC Breach SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
From: Jimmy-H Xu
Date: Mon, 16 Apr
To: Xavier Avila
Mathew Negus
Akash Malhotra <
Cc: Joe Aglione ... only
Approved as one-off, but let's get the KYC done for FFT please
Thanks
Kind regards
Jimmy
{https://brandportal.intranet.db.com/img/modules/logo.gif}
Jimmy-H Xu
Cross Currency Swap Trading
Deutsche ... IMMIS; artin eman
Alka Gopala <IIIMMMIlli.
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade to London pls?
From
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01406890.pdf
EFTA01401922Set 10
2018-04-164p527w
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
From: Xavier Avila
Date: Mon, 16 Apr 2018 12:55:22 -0400
To: Mathew Negus
Akash Malhotra <
Cc: Shawn ... Tona -; Ian Salters
I ; Martin Zeman
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location [I]
Classification: For internal use only
I would re-book to London ... Salters
; Mathew Negus ; Martin Zeman
EFTA01401922
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
Negus, what do we do with the below?
If easy extension
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01401922.pdf
EFTA01362996Set 10
2018-04-171p204w
Classification: For Internal use only
In general, everything should face FFT and other booking centres are only used in exceptional circumstances I
believe
Thanks
Kind regards
Jimmy
Jimmy ... NCAOTC Derivatives < >; artin
Zeman >; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... FFT? What about EUR and GBP vanilla
and inflation swaps? We might have some of those coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362996.pdf
EFTA01362960Set 10
2018-04-161p195w
iMMIMI >; Martin
Zeman >, Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... FFT? What about EUR and GBP vanilla
and inflation swaps? We might have some of those coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From ... Chopra >, NCAOTC Derivatives <nceotc.,deriyatiyes'adb.com>, Martin Zeman
Alka Gopala
u . : mac LLC_FFT Location [I]
Classification: For Internal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362960.pdf
EFTA01362961Set 10
2018-04-161p232w
NCAOTC Derivatives
Zeman ; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade to London pis?
From: Mathew ... Nina Tona
Ian Salters ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification: For Memel use only
I would re-book to London ... Salters ; Mathew Negus • Martin Zeman
Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Negus, what do we do with the below?
If easy extension to OTC Rates
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362961.pdf
EFTA01358382Set 10
2018-04-161p213w
artin
Zeman Alka Gopala
Subject: RE. KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Shawn, MO, is it ok to move this trade to London pls?
From: Mathew Negus ... Alka Gopala
Ian Salters Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification: For Internal use only
I would re-book to London ... Salters Mathew Negus ; Martin Zeman
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Negus, what do we do with the below?
If easy extension to OTC Rates
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358382.pdf
EFTA01363048Set 10
2018-04-171p203w
NCAOTC Derivatives ]; Martin Zeman
Alka Copula
Subject: RE: KYC Breach SOUTHFINANMD Southern Financial, LLC_FFT Location
Classification: For internal use only
In general, everything should face FFT and other booking ... Martin
Zeman IMISIII >; Alka Gopala a>
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... FFT? What about EUR and GBP vanilla
and inflation swaps? We might have some of those coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363048.pdf
EFTA01363021Set 10
2018-04-161p207w
Martin Zeman
I ; Alka Gopala
Subject: RE: KYC Breach SOUTHFINANMD_Southem Financial, LLC_FFT Location [Ij
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... FFT? What about EUR and GBP vanilla
and inflation swaps? We might have some of those coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From ... CAOTC Derivatives axial
, Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [1]
Classification: For Internal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363021.pdf
EFTA01363005Set 10
2018-04-161p187w
Done, thanks.
Are all the XCCYs generally booked and clients KYCed in DB AG FFT? What about EUR and GBP vanilla
and inflation swaps? We might have some of those ... coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From: Jimmy-H Xu
Date: Monday, A r 16
.1• MI
To: Xavier Avila Mathew No
, Pankaj ... Martin Zeman
Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southcm Financial, LLC_FFT Location [I]
Classification: For Internal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363005.pdf
EFTA01363004Set 10
2018-04-171p205w
Zeman Alka Gopala .c) >
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
I'll check who should handle the product extension to FFT. I expect it will ... Derivative , Martin Zeman
, Alka Gopala
Subject RE: KYC Brcach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Classification. For internal use only
In general, everything should face FFT and other booking ... Zeman -; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southern Financial, LLC_FFT Location [I]
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052796
CONFIDENTIAL SONY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363004.pdf
EFTA01363001Set 10
2018-04-171p203w
Martin
Zeman O ; Alka Gopala
Subject: RE: KYC Breach_SOUTHFINANMD_Southem Financial, LLC_FFT Location [I]
Done, thanks.
Are all the XCCYs generally booked and clients KYCed ... FFT? What about EUR and GBP vanilla
and inflation swaps? We might have some of those coming.
Mat/Nina, who can help us with FFT extensions, same NY CMs?
Thanks
From ... Chopra , NCAOTCDerivative . Martin Zeman
a opala
Subject: RE: KYC Breach_SOUTHFINANMD_Southcrn Financial, LLC_FFT Location [I]
Classification. For Internal use only
Approved
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363001.pdf