EFTA Document EFTA01398352

Subject: RE: New Derivatives account. [I] From: CUSTOMERBUILD BLO Date: Thu, 18 Jan 2018 16:46:05 -0500 To: Abhijit Mukherjee Cc: Keith Buckholz Srikanta Gouda Paolo De-Leon Surendra Singh CUSTOMERBUILD BLO Classification: For internal use only Hi Abhijit, Please provide the Credit Agreement, KYC evidence, SIC code and NACE code for this guarantor setup. Kind Regards, Sendhil-kumar K Operations Senior Analyst DBOI Global Services Private Limited Ph:+ 44- Email Sendhil-kumar K/db/dbcom From: Abhijit Mukherjee Sent: Thursday, January 18, 2018 11:20 AM To: CUSTOMERBUILD BLO Cc: Keith Buckholz ; Paolo De-Leon Singh ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] ; Srikanta Gouda Classification: For internal use only Hi team, >; Surendra EFTA01398352 Kindly build the below customer under guarantor profile. Thanks. Southern Financial LLC Kind regards, Abhijit Mukherjee Icid:[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 lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : Icid:[email protected] From: Paolo De-Leon Sent: Thursday, January 18, 2018 9:02 PM To: Surendra Sin h < Abhijit Mukherjee Cc: Keith Buckholz < ; Srikanta Gouda Subject: RE: New Derivatives account. [I] Hi Abhijit and Surenda, EFTA01398353 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 PCR Document RDC Document Thanks, Paolo {cid:[email protected]} Paolo De Leon EFTA01398354 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, January 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 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 EFTA01398355 A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India Tel. Avaya- 3382671 Fax Mobile +91 Email mailto: Go green. Consider the environment before printing this email. From: Paolo De-Leon Sent: Wednesday, January 17, 2018 11:02 AM To: Sachiva Gupta ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Hi Sachiva and Abhijit, 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 Gu ta Cc: Keith Buckholz Subject: FW: New Derivatives account. [I] ; Abhijit Mukherjee EFTA01398356 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 {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: Thursday, January 11, 2018 4:36 PM To: Paolo De-Leon Kind regards, Diana Canter Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] ; Teresa Metallo EFTA01398357 fhttps://brandportal.intranet.db.com/img/modules/- DAWN_ 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] 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 EFTA01398358 Cc: I d eithBud Subject: RE: New Derivatives account. [I] These are different account numbers than were provided way below originally? 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, 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: EFTA01398359 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. fcid:[email protected] 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 EFTA01398360 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, Can you kindly provide the below documents for Southern Financial LLC? KYC Document PCR Document RDC Document Thank you, Paolo EFTA01398361 {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? 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 EFTA01398362 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Keith Buckholz Sent: Tuesday, January 09, 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 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 J 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 EFTA01398363 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 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. EFTA01398364 KYC Document PCR Document RDC Document Regards, Keith From: Funda Bozkurt Sent: Tuesday, January 09, 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. Funda Bozkurt Deutsche Bank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Email 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 [I] EFTA01398365 Classification: For internal use only Hi Funda, Do you know who owns or maintains KYC documentation (for WM accounts)? Thanks. Regards, Keith From: Keith Buckholz Sent: Friday, Decembe To: Srikanta Gouda Cc: Nitin-X Sin Sendhil-kumar Enid Ellis Subject: RE: New Importance: High ; Debra Jasper ; Halina Laczny CRM-PWM Derivatives < ; Collateral-Assets Newyork <collateral- r 08, 2017 11:38 AM Surendra Collateral Admin-NY ; ec Sin l ; Collateral Admin-NY ; CUSTOMERBUILD BLO ; 'FX Middle Office' <fx- ; Roxanne Scott ; Hiren Mathur Derivatives account. [I] 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. EFTA01398366 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: From: Keith Buckholz Sent: Monday, November To: Srikanta Gouda Cc: Nitin-X Sin Sendhil-kumar Subject: RE: New Srikanta, >; Debra Jasper ; Halina Laczny CRM-PWM Derivatives ; Collateral-Assets Newyork <collateral- 20 2017 2:01 PM ; Surendra Singh ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO <M >; ; FX Middle Office <fx- ; Roxanne Scott Hiren Mathur > Derivatives account. [I] EFTA01398367 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 ..z > Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h , Keith Buckholz , Collateral Admin-NY cifi. Cc: Nitin-X Sin Sendhil-kumar Enid Ellis >, Collateral Admin-NY , 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 EFTA01398368 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 {cid:[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 Sent: Tuesday, November 21, 2017 12:06 AM To: Keith Buckholz ; Srikanta Gouda Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY CUSTOMERBUILD BLO a>; Sendhil-kumar K < FX Middle Office <fx- ; Roxanne Scott FX Middle Office Mathur CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork <collateral- > Subject: RE: New Derivatives account. [I] Classification: For internal use only Srikanta, EFTA01398369 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. From: Keith Buckholz Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh ; Srikanta Gouda ; Collateral Admin-NY <a> 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] EFTA01398370 Classification: For internal use only Hi Surenda, 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 20, 2017 1:09 PM To: Srikanta Gouda ; Keith Buckholz ; Collateral Admin-NY 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 Hello Keith, Please confirm if below request was completed or it is not needed to be set up anymore. EFTA01398371 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 Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Singh ; Keith Buckholz Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY CUSTOMERBUILD BLO a>; Sendhil-kumar K < FX Middle Office <fx- ; Roxanne Scott FX Middle Office Mathur CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork <collateral- > Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, EFTA01398372 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 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 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 Hiren Mathur • ; CRM-PWM EFTA01398373 Subject: RE: New Derivatives account. [I] 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 {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. EFTA01398374 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 Laczn < ; FX Middle Office <fx- ; Hiren Mathur Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Nitin-X Singh <nitin- Classification: For internal use only Hi Surendra, >; CRM-PWM 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. Regards, Keith From: Surendra Singh Sent: Tuesday, November 14, 2017 11:00 AM To: Keith Buckholz Cc: Srikanta Gouda ; Surendra Singh ; Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO ; Surendra Singh < >; Sendhil- kumar K ; FX Middle Office <fx- >; Debra Jasper >.; Roxanne Scott Halina Laczny ; FX Middle Office ; Hiren Mathur CRM-PWM Derivatives • ; Enid Ellis Subject: FW: New Derivatives account. [I] EFTA01398375 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 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 Jai ur, India Tel. Fax EFTA01398376 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 X Singh >; CUSTOMERBUILD BLO ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, ; Surendra Singh ; Nitin- ; Collateral Admin-NY <collateral.admin- ; Surendra Singh 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 EFTA01398377 @ 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 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 Email For Level 1 escalations lease contact Mohammed-B Hussain at email id : 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 EFTA01398378 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 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 < ; Abhijit Mukherjee ' <fx- >; Surendra Singh Singh Subject: FW: New Derivatives account. [I] ; Nitin-X EFTA01398379 Classification: For internal use only Hi All, 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, {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. EFTA01398380 EFTA01398381