Correspondence · Nov. 16, 2016

Bank email on terminating trading agreements for two offboarded clients, Nov. 2016

A bank wealth management unit's business risk director emails a colleague asking to begin terminating ISDA and repo trading agreements for two offboarded client entities.Machine-written summary

EFTA00169443¶

From: Sebastian Marcilese¶

Sent: Wednesday, November 16, 2016 11:07 AM¶

Sure Keith.¶

Katherine will be working on it¶

From: Keith Buckholz¶

Sent: Wednesday, November 16, 2016 10:01 AM¶

To: Sebastian Marcilese <¶

Subject: Southern Financial and Southern Trust: ISDA and Repo Termination

Importance: High

Sebastian,¶

Wealth Management is offboarding the below two clients. Can we please begin the process of terminating these trading agreements? Thanks.¶

SOUTHERN FINANCIAL LLC¶

| ISDA: PLM Contract No. 640310 | GMRA: PLM Contract No. 739190 |¶

| :--- | :--- |¶

SOUTHERN TRUST COMPANY INC¶

| ISDA: PLM Contract No. 640330 |¶

| GMRA: PLM Contract No. 752070 |¶

Regards,¶

Keith Buckholz¶

Director¶

Deutsche Bank Wealth Management Business Risk Management¶

2¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

USAO_001807 DB-SDNY-0000847 EFTA_00019717¶

EFTA00169444¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

USAO_001808 DB-SDNY-0000848 EFTA_00019718¶

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Bank email on terminating trading agreements for two offboarded clients, Nov. 2016

From: Sebastian Marcilese¶

From: Keith Buckholz¶

SOUTHERN FINANCIAL LLC¶

SOUTHERN TRUST COMPANY INC¶

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