EFTA Document EFTA01426385

Subject: RE: trading capabilities From: Stewart Oldfield ‹ > Date: Thu, 11 May 2017 15:58:01 -0400 To: Richard Kahn ‹ > Perfect. Will be great to meet him. Thanks From: Richard Kahn [mailto: Sent: Thursday, May 11, 2017 3:45 PM To: Stewart Oldfield Subject: Re: trading capabilities i would like to wait until we finalize bringing someone onboard so they can attend should be 1-2 weeks more thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 EFTA01426385 On May 10, 2017, at 3:34 PM, Stewart Oldfield wrote: Let me know when you would like to reconnect on this. Thanks From: Richard Kahn [mailto: Sent: Wednesday, May 03, 2017 4:47 PM To: Stewart Oldfield Subject: Re: trading capabilities hope to know timing by friday thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 On May 3, 2017, at 10:20 AM, Stewart Oldfield c > wrote: EFTA01426386 I've prepped people internally for this conversation. Let's discuss next week when we get together. Let me know what times work for you Wednesday and Thursday. Thanks From: Richard Kahn [mailto: Sent: Thursday, April 27, 2017 9:24 AM To: Stewart Oldfield Subject: Re: trading capabilities are you free to talk this am free now or after 10:30am thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 On Apr 26, 2017, at 5:12 PM, Stewart Oldfield wrote: EFTA01426387 The reality is that most of that went away when we closed all of the IB trading relationships. And it isn't really possible to do anything credit bearing OTC without the markets accounts and ISDA. From: Richard Kahn [mailto: Sent: Wednesday, April 26, 2017 5:07 PM To: Stewart Oldfield Cc: Vahe Stepanian Subject: Re: trading capabilities mr epstein has been asking and would like to give him feedback this week on trading capabilities regarding next week - wednesday is ok to come by thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 EFTA01426388 On Apr 26, 2017, at 4:53 PM, Stewart Oldfield wrote: Generally we are talking about purchase of fx options I think. Let's add this to the discussion agenda for next week. See you soon From: Richard Kahn [mailto: Sent: Tuesday, April 25, 2017 5:49 PM To: Vahe Stepanian Cc: Stewart Oldfield Subject: Re: trading capabilities we are potentially looking to increase derivatives trading and would like to better understand what long form confirmation will allow us to do please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 EFTA01426389 On Apr 25, 2017, at 4:14 PM, Vahe Stepanian a wrote: Generally agree with Stewart. Is there anything specific you are looking at? Thanks, Vahe From: Stewart Oldfield Sent: Tuesday, April 25, 2017 4:02 PM To: Richard Kahn Cc: Vahe Stepanian < Subject: RE: trading capabilities Generally I think we can just do listed options in your wealth management brokerage accounts. We don't have investment banking/OTC capabilities for you unless we can trade via long form confirmation. Copying Vahe who can clarify. Thanks From: Richard Kahn [mailto: Sent: Tuesday, April 25, 2017 3:48 PM To: Stewart Oldfield Subject: trading capabilities 1 are we able to do any of the following trades in our accounts Trade fx forwards and options EFTA01426390 CDS Equity derivatives If so would this be out of your Wealth Management group or Investment Bank? please advise thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication EFTA01426391 in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01426392 This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. EFTA01426393