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efta-efta01455881DOJ Data Set 10CorrespondenceEFTA Document EFTA01455881
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DOJ Data Set 10
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efta-efta01455881
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Counterparty: Southern Trust Company
Inc
Address:
Deutsche Asset & Wealth Management
Re: Contact Information For Purposes of CFTC Regulation 23.701
Dear Sir or Madam:
The following contact information is being provided for purposes of your delivery of notices
pursuant to CFTC Regulation 23.701 ("CFTC IM Segregation Right Notices"). CFTC N
Segregation Right Notices for Counterparty may be provided to the person identified below (the
"Collateral Contact") using the following contact information. I
I.
Collateral Contact Type2 (please select one)3
K
Officer responsible for the management of collateral
El
Chief Risk Officer of the Counterparty
ID
Chief Executive Officer of the Counterparty
K
Highest-level decision-maker for the Counterparty
II.
Collateral Contact Name:
2
3
Market participants should note that Collateral Contact information should be updated as appropriate to avoid
potential trading disruptions in future years. See CFTC Regulation 23.701(e) (requiring notice at least once per
calendar year).
CFTC Regulation 23.701(c) states that the notification required pursuant to CFTC Regulation 23.701(a) must be
made to an officer of the counterparty responsible for the management of collateral if such an officer has been
identified to the swap dealer or major swap participant. If no such person has been identified by the
Counterparty, then the notification must be made to (persons using this form should select accordingly):
•
the Chief Risk Officer of the counterparty;
•
or if them is no such officer, the Chief Executive Officer, or
•
if none, the highest-level decision-maker for the counterparty.
Please note that while only one "Collateral Contact Type" should be selected, market participants may provide
information for more than one Collateral Contact.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0114889
CONFIDENTIAL
SONY GM_00281073
EFTA01455881
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