EFTA01356090

To: Xavier Avila < >; Keith Buckholz Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow [I]l Classification: For Internal use only Yes, happy to take point here. Like Xavi mentions, I'm also not sure what PCR and ROC refer to — can you please clarify and I'll provide for the accts below? Thank you, Davide From: Xavier Avila Sent: Wednesday, February 21, 2018 11:44 AM To: Keith Buckholz < >, Davide-A Sferrazza < Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow [II Sounds good, DAvide can you pls take the lead and let me know if any issues? I don't know what PCR and RDC stands for. Thanks Xavi From: Keith Buckholz Sent: Wednesday, February 21, 2018 11:19 AM To: Xavier Avila < >; Davide-A Sferrazza Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow [I] Hi Xavi, These are the three docs I referred to in our conversation at my desk last week. The Collateral Admin group requires a dummy LS2 facility to be set up to enable the WM collateral value to show up in CMV. That group will not set up an LS2 facility for a new client unless they have certain documentation / information (KYC, PCR, RDC, SIC code, NACE code); BRM will provide the SIC and NACE codes. We'll also ask the documentation team (i.e. Ellenoi) to build this into their required doc list so we don't have to ask you moving forward. Regards, Keith From: Paolo De-Leon Sent: Wednesday, February 21, 2018 10:43 AM To: Xavier Avila < >; Davide-A Sferrazza < Cc: Keith Buckholz < Subject: KCP Collateral Flow Hello Xavi and Davide, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041587 CONFIDENTIAL SDNY_GM_00187771 EFTA01356090