EFTA01398521

Subject: RE: KCP Collateral Flow [I] From: Paolo De-Leon < E > Date: Thu, 22 Feb 2018 09:27:15 -0500 To: Keith Buckholz ‹ > GM Keith, We were only sent the KYC doc for Southern Financial per the attached email. I believe Teresa and team were still gathering the PCR and RDC documents per last conversation. Also, I anticipate Davide will ask to be pointed in the right direction as to where to retrieve these docs. Shall I suggest he reach out to Teresa as her team was previously in charge of retrieving those docs? Thanks, Paolo From: Keith Buckholz Sent: Thursday, Februar 22 2018 9:22 AM To: Paolo De-Leon Subject: FW: KCP Collateral Flow [I] Classification: For internal use only Did Teresa send us these documents (PCR and RDC) for a client? I figured we could forward them to Davide and Xavi as examples. Regards, Keith EFTA01398521 From: Davide-A Sferrazza Sent: Wednesday, February 21, 2018 6:54 PM To: Xavier Avila ; Keith Buckholz Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow [I] Classification: For internal use only Yes, happy to take point here. Like Xavi mentions, I'm also not sure what PCR and RDC refer to — can you please clarify and I'll provide for the accts below? Thank you, Davide From: Xavier Avila Sent: Wednesday, Februar 21, 2018 11:44 AM To: Keith Buckholz ; Davide-A Sferrazza <davide- Cc: Paolo De-Leon e > Subject: RE: KCP Collateral Flow [I] 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 EFTA01398522 Sent: Wednesday, February 21, 2018 11:19 AM To: Xavier Avila ; Davide-A Sferrazza <davide- > 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, Februar 21 2018 10:43 AM To: Xavier Avila ; Davide-A Sferrazza <davide- > Cc: Keith Buckholz Subject: KCP Collateral Flow Hello Xavi and Davide, Can you kindly provide the following documents for the below three KCP clients. These docs are required so that we can on board these clients into our daily derivative report, which will allow collateral values to flow correctly. EFTA01398523 Client name Docs needed The Lamia Ventures Corp KYC, PCR, RDC PW Focus Fund LLC KYC, PCR, RDC Southern Financial LLC KYC, PCR, RDC Thanks and regards, Paolo EFTA01398524