EFTA Document EFTA01398320

Subject: RE: New Derivatives account. [I] From: Paolo De-Leon Date: Tue, 06 Feb 2018 17:22:29 -0500 To: Teresa Metallo Cc: Keith Buckholz Jason Wang Hi Teresa, Fortunate news- we here at risk have identified a process where we can provide the LS2 team the SIC Code and NACE code. However, we ask that your team help out by acting as the point of contact for retrieving the KYC, PCR and RDC documents. Are you in agreement with this proposal? Regards, Paolo From: Teresa Metallo Sent: Thursday, Januar 18, 2018 12:11 PM To: Paolo De-Leon ; Surendra Singh ; Abhijit Mukherjee < ; Halina Laczny < ; Srikanta Gouda <fx- Subject: RE: New Derivatives account. [I] Classification: For internal use only Paolo, ; Debra EFTA01398320 I will set up a call with all to discuss how we can support these requests. Thanks, Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # (- From: Paolo De-Leon Sent: Thursday, Januar 18, 2018 11:07 AM To: Surendra Singh < Laczny Cc: Keith Buckholz < ; Abhijit Mukherjee ; Debra Jasper <EIMM .>; Halina >; Teresa Metallo Subject: RE: New Derivatives account. [I] Adding Teresa to the thread. ; Srikanta Gouda ' <fx- Teresa- it seems that Gideon Pinedo who I believe was previously on your direct team used to help out with retrieving the below information. Would you happen to have someone on your team that can help provide Surenda with the below information so that he can build the dummy bond in LS2 and so that ultimate we can add collateral into the daily derivative report, which is an important report that risk relies upon. Debbie and Halina- please let us know who the direct owners of the below information is (note that these are Wealth Management clients). EFTA01398321 SIC Code NACE Code KYC Document PCR Document RDC Document Thank you, Paolo fcid:[email protected] Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Surendra Singh Sent: Thursday, January 18, 2018 10:56 AM EFTA01398322 To: Paolo De-Leon ; Abhijit Mukherjee ; Debra Jasper <===>; Halina Laczny Cc: Keith Buckholz ; Srikanta Gouda <fx- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Paolo, I am not sure who should be the right contact to provide relevant information. I would assume that Gedeon Pinedo used to provided such information in past however he left the bank. @ Debbie/Halina, Would you please assist on below mail if you know the right contact to get in touch with? Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 EFTA01398323 Email Go green. Consider the environment before printing this email. From: Paolo De-Leon Sent: Thursday, January 18, 2018 10:32 AM To: Surendra Sin oh ; Abhijit Mukherjee Cc: Keith Buckholz < ; Srikanta Gouda Subject: RE: New Derivatives account. [I] Hi Abhijit and Surenda, Just to confirm my understanding of the process, Abhijit's team cannot proceed with adding of the collateral to the daily derivative report until Surenda's team builds a dummy bond in LS2, and Surenda cannot proceed unless she has the below highlighted items? So it seems that process is in a logjam until all the below information is retrieved. Surenda- in the past when onboarding Wealth Management clients onto LS2, what was the name of the person who provided to you the below information? It seems that in Srikanta note below that CRM is responsible for providing the LS2 team with that information, but CRM is typically involved only with credit risk analysis and margining approval; the information below seems operational and compliance based in nature. I'd like to track down the ultimate owners of the below information so that we can create a process around retrieving this information when setting up new LS2 profiles. SIC Code NACE Code KYC Document EFTA01398324 PCR Document RDC Document Thanks, Paolo fcid:[email protected] Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Sachiva Gupta Sent: Wednesday, Januar 17, 2018 11:07 AM To: Paolo De-Leon ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Classification: For internal use only EFTA01398325 Hi, Please exclude my name from the mail. Kind Regards, {cid:[email protected]} Sachiva Gupta Senior Analyst I Securities Operations - WM US COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jai ur, India Tel. Avaya- 3382671 Fax Mobile +91 Email mailto: Go green. Consider the environment before printing this email. From: Paolo De-Leon Sent: Wednesday, Januar 17, 2018 11:02 AM To: Sachiva Gupta ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Hi Sachiva and Abhijit, EFTA01398326 Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 4:55 PM To: Sachiva Gupta Abhijit Mukherjee Cc: Keith Buckholz Subject: FW: New Derivatives account. [I] Hello Sachiva and Abhijit, Please see attached and please proceed with setting up the dummy facility in LS2 so that the collateral can be linked to the DDR. Thanks, Paolo fcid:[email protected] Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email EFTA01398327 From: Diana Canter Sent: Thursday, January 11, 2018 4:36 PM To: Paolo De-Leon >; Teresa Metallo Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Kind regards, Diana Canter fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Paolo De-Leon Sent: Thursday, Januar 11, 2018 11:55 AM To: Diana Canter ; Teresa Metallo Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] EFTA01398328 Thanks, Please retrieve for these below accounts: SOUTHERN FINANCIAL LLC From: Diana Canter Sent: Thursday, Januar 11, 2018 11:45 AM To: Paolo De-Leon ; Teresa Metallo Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] These are different account numbers than were provided way below originally? Kind regards, Diana Canter {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gif} Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management EFTA01398329 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Paolo De-Leon Sent: Thursday, January 11, 2018 11:33 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] The account numbers are below: Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 10:13 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Hello- please see below. Icid:[email protected] EFTA01398330 From: Teresa Metallo Sent: Thursday, January 11, 2018 10:04 AM To: Paolo De-Leon Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # (- From: Paolo De-Leon Sent: Thursday, January 11, 2018 9:57 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Hello Teresa, EFTA01398331 Can you kindly provide the below documents for Southern Financial LLC? KYC Document PCR Document RDC Document Thank you, Paolo {cid:[email protected]} Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Diana Canter Sent: Wednesday, January 10, 2018 1:39 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Sure — let me know if u need more of if Teresa is not able to help you? EFTA01398332 D Kind regards, Diana Canter {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gif} Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Keith Buckholz Sent: Tuesday, January 2018 4:50 PM To: Diana Canter Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Classification: For internal use only Thanks for the quick follow up. We will reach out to Teresa tomorrow afternoon if we don't hear back from her by then. Thanks again. Regards, Keith EFTA01398333 From: Diana Canter Sent: Tuesday, January 09, 2018 4:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Hi Keith — I tried to call you but no voice mail .7 Gideon used to work for Teresa Metallo so I have reached out to her She is checking on this one Just fyi — one of the accounts you listed far below has been closed on Pershing since 4/28/2014 D Kind regards, Diana Canter fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email EFTA01398334 From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:21 PM To: Diana Canter Cc: Paolo De-Leon Subject: FW: New Derivatives account. [I] Classification: For internal use only Hi Diana, We are looking for some KYC information on a client. Do you know who can provide us with this information? We are being told an LS2 facilty cannot be setup without these docs (which we need to set up an OTC collateral account). Apparently, Gideon Pinedo helped with this process in the past. Thanks. KYC Document PCR Document RDC Document Regards, Keith From: Funda Bozkurt Sent: Tuesday, January , 2018 2:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] You can ask Zia Memon /Diana Canter. The team reports to him. EFTA01398335 Funda Bozkurt Deutsche Bank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, Tel. Email NY, USA From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:15 PM To: Funda Bozkurt Cc: Paolo De-Leon Subject: FW: New Derivatives account. Importance: High Classification: For internal use only Hi Funda, [I] Do you know who owns or maintains KYC documentation (for WM accounts)? Thanks. Regards, Keith From: Keith Buckholz Sent: Friday, December To: Srikanta Gouda < Cc: Nitin-X Singh Sendhil-kumar 08, 2017 11:38 AM SmidraSin i ; Collateral Admin-NY ; cu >; Collateral Admin-NY ; CUSTOMERBUILD BLO -ffi; >; 'FX Middle Office' <fx- >; Debra Jasper < >; Roxanne Scott EFTA01398336 ; Halina Laczny ; Hiren Mathur CRM-PWM Derivatives Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Importance: High Classification: For internal use only Hi Srikanta, Is there an escalation point for this issue? Going forward BRM will not be providing KYC documentation to have collateral accounts set up. Thanks. Regards, Keith Keith Buckholz, CAIA Director I Credit Risk Officer Deutsche Bank Wealth Management Business aligned Risk Management 345 Park Avenue, MS NYC20-1406 New York, NY 10154 Tel: Mobile: EFTA01398337 From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda ; Surendra Collateral Admin-NY ; Sin I m i n Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K ; FX Middle Office <fx- >; Debra Jasper < >; Roxanne Scott >; Halina Laczny ; Hiren Mathur >; CRM-PWM Derivatives < ; Collateral-Assets Newyork <collateral- Enid Ellis Subject: RE: New Derivatives account. [I] Srikanta, I was asking if you knew someone (an actual person) who has provided your team with these docs in previous requests. I'll reach to that person for the documents your team requires. Thanks. Keith Sent with BlackBerry Work (www.blackberry.com) From: Srikanta Gouda Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h , Keith Buckholz , Collateral Admin-NY Cc: Nitin-X Singh Collateral Admin-NY EFTA01398338 Sendhil-kumar Enid Ellis , CUSTOMERBUILD BLO , FX Middle Office <fx- , Debra Jasper >, Roxanne Scott , Halina Laczny , Hiren Mathur CRM-PWM Derivatives , Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only As mentioned earlier... "Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client" Yes.. but not sure, whom do Requester or CRM reach out to get these documents. Thanks Kind regards, Srikanta Gouda fcid:[email protected] Srikanta Gouda Process Supervisor DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email From: Surendra Singh EFTA01398339 Sent: Tuesday, November 21, 2017 12:06 AM To: Keith Buckholz ; Srikanta Gouda ; Collateral Admin-NY < M=> Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K ; FX Middle Office <fx- >; Debra Jasper ; Roxanne Scott ; Halina Laczny FX Middle Office Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Srikanta, Please advise Keith on below mail. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 Email Go green. Consider the environment before printing this email. EFTA01398340 From: Keith Buckholz Sent: Monday, November To: Surendra Singh Cc: Nitin-X Singh Sendhil-kumar K ; Debra Jasper ; Halina Laczny Office >; Hiren Mathur CRM-PWM Derivatives •; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surenda, 20, 2017 1:27 PM ; Srikanta Gouda ; Collateral Admin-NY <a> Collateral Admin-NY ; CUSTOMERBUILD BLO <n>; ; FX Middle Office <fx- >; Roxanne Scott ; FX Middle We do need this set up. I am trying to track down these documents, not sure who has them. When the dummy account is set up in LS2, who normally provides these docs? Thanks. Regards, Keith From: Surendra Singh Sent: Monday, November To: Srikanta Gouda Cc: Nitin-X Sin Sendhil-kumar K 20, 2017 1:09 PM ; Keith Buckholz ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO ; FX Middle Office <fx- EFTA01398341 >; Debra Jasper ; Halina Laczny Office ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hello Keith, >; Roxanne Scott ; FX Middle Please confirm if below request was completed or it is not needed to be set up anymore. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 Email Go green. Consider the environment before printing this email. From: Srikanta Gouda EFTA01398342 Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Singh < -; Keith Buckholz ; Collateral Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO <I >; Sendhil-kumar K ; FX Middle Office <fx- >; Debra Jasper ; Roxanne Scott Halina Laczny FX Middle Office >; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, Generally we do not required the below information in order to setting up a New DDR account.( If the Client is already On boarded to LS2 ). However in this case, We do not see the client is onboard to LS2, in order to onboard the client, Customerbuild team would require the below information. Once the client is onboard, we will go head and create the collateral account. Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client. Please feel free to reach out to me if you have any question. Kind regards, Srikanta Gouda {cid:[email protected]} Srikanta Gouda Process Supervisor EFTA01398343 DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email From: Surendra Singh Sent: Wednesday, November 15, 2017 1:43 AM To: Keith Buckholz Cc: Srikanta Gouda a; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- ; FX Middle Office ; Debra Jasper < ; Roxanne Scott < -; Halina Laczny < ; FX Middle Office <fx- ; Collateral Admin-NY ; Nitin-X Singh <nitin- Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Hiren Mathur ; CRM-PWM Classification: For internal use only Hi Keith, Collateral Team has asked for this information to proceed further. @ Collateral Team, Please assist Keith on below request. Kind regards, Surendra Singh EFTA01398344 {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 Email Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh Cc: Srikanta Gouda a; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- ; FX Middle Office ; Debra Jasper < ; Roxanne Scott < -; Halina Laczny < ; FX Middle Office <fx- ; Nitin-X Singh <nitin- Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Hiren Mathur Classification: For internal use only Hi Surendra, Can you please let me know who is asking for this information? We have never provided this information in the past when setting up new DDR accounts. I also don't have access to the requested documents. Thanks. EFTA01398345 Regards, Keith From: Surendra Singh Sent: Tuesday, November To: Keith Buckholz Cc: Srikanta Gouda Admin-NY kumar K Office CRM-PWM Derivatives Subject: FW: New Derivatives account. [I] 14, 2017 11:00 AM >; Surendra Singh Nitin-X Singh ; Collateral ; CUSTOMERBUILD BLO ; Surendra Singh < >; Sendhil- ; FX Middle Office <fx- >; Debra Jasper >; Roxanne Scott Halina Laczny ; FX Middle ; Hiren Mathur ; Enid Ellis Classification: For internal use only Hello Keith, Relevant team is asking to provide below information to get this request processed further. Request you to provide the same. SIC Code NACE Code KYC Document PCR Document RDC Document EFTA01398346 Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 Email Go green. Consider the environment before printing this email. From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Tuesday, November 14, 2017 10:22 AM To: Sachiva Gupta Cc: Srikanta Gouda ; Surendra Singh ; Nitin- X Sin >; Collateral Admin-NY <collateral.admin- >; CUSTOMERBUILD BLO ; Surendra Singh ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, EFTA01398347 Please provide the below requested information to Customerbuild team in order to set up the customer in LS2. SIC Code NACE Code KYC Document PCR Document RDC Document @ Sendhil — Once you receive the required information, please set up a Guarantor profile in LS2. Note — Once the Customer is set up and $1 Facility is created in LS2, we will link the collateral account to DDR. Kind regards, Abhijit Mukherjee {cid:[email protected]} Abhijit Mukherjee DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip Mobile +91 Email For Level 1 escalations please contact Mohammed-B Hussain at email id : EFTA01398348 For Level 2 escalations please contact Melvin V at email id : {cid:[email protected]} From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Saturday, November 04, 2017 1:50 AM To: Sachiva Gupta Cc: Srikanta Gouda ; Surendra Singh ; Nitin- X Singh Collateral Admin-NY <collateral.admin- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, We did not find the below customer built in LS2. Kindly reach out to Customer build team to get it built under guarantor profile. Thanks. Kind regards, Abhijit Mukherjee fcid:[email protected] Abhijit Mukherjee DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip Mobile +91 EFTA01398349 Email For Level 1 escalations please contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : From: Sachiva Gupta Sent: Friday, November 03, 2017 10:22 PM To: Collateral Admin-NY Cc: Srikanta Gouda < >; Surendra Singh Singh Subject: FW: New Derivatives account. [I] Classification: For internal use only Hi All, > ; Nitin-X Could you please add the below client to the DDR? Attached are the SACA and Pledge agreements. Please note there are two accounts for this client. SOUTHERN FINANCIAL LLC Kindly confirm once done. Kind Regards, EFTA01398350 fcid:[email protected] Sachiva Gupta Senior Analyst I Securities Operations - WM US COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jai ur, India Tel. Avaya- 3382671 Fax Mobile +91 Email mailto: Go green. Consider the environment before printing this email. EFTA01398351