Client Segregation Election Notice [C]
Cc: DeAWM-WM DerivativeDocs
Ian Hearn <
[email protected]>,
Paul Morris <
Vahe Stepanian <
Classification: Confidential
Ian -- Not yet. I've reminded the client that we also need that. I'll forward
once they send
Best,
Amanda Kirby
(Embedded image moved to file: pic21208.gif)
Amanda Kirby
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel.
Fax
Email
(Embedded image moved to file: pic12503.gif)
Securities offered through Deutsche Bank Securities Inc.
From:
DeAWM-WM DerivativeDocs/db/dbcom
To:
Amanda Kirby/db/-
Cc:
DeAWM-WM DerivativeDocs/db/ , Vahe Stepanian/db/ , Paul Morris/db/-
PROT0
Date:
PM
10/29/2014 05:00
Subject:
Re: Fw: Part Two - Dodd Frank Initial Margin Segregation Rule
- Client Segregation Election Notice [C]
Classification: Confidential
Hi Amanda, thank you for the below. Can you advise if you also have the Responsible
Office document signed for both clients as both forms are required to be
compliant. thanks
Kind Regards,
DeAWM Derivative Documents Team
From:
dbcom
To:
Cc:
Date:
PM
Amanda Kirby/db/-
Ian Hearn/db/-
DeAWM-WM DerivativeDocs/db/ , Vahe Stepanian/db/
10/29/2014 02:10 , Paul Morris/db/-
PROT1
Subject:
Fw: Part Two - Dodd Frank Initial Margin Segregation Rule -
Client Segregation Election Notice [C]
Classification: Confidential
Ian,
Please see attached from the client
Best,
Amanda Kirby
(Embedded image moved to file: pic10100.gif)
Amanda Kirby
Deutsche
Deutsche
345 Park
Tel.
Fax
Email
Bank Trust Company Americas
Asset & Wealth Management
Avenue, 10154-0004 New York, NY, USA
(Embedded image moved to file: pic24511.gif)
Securities offered through Deutsche Bank Securities Inc.
Forwarded by Amanda Kirby/db/dbcom on 10/29/2014 02:09 PM
From:
Darren Indyke
•aa'
To:
Amanda Kirby/db/-
Cc:
Richard Kahn <
IMM>,
Paul Morris/db/- , Vahe Stepanian/db/-
PROT2
Date:
PM
10/29/2014 01:39
Subject:
Re: Part Two - Dodd Frank Initial Margin Segregation Rule -
Client Segregation Election Notice [C]
Please see attached the signed Election notices for both Southern Trust
Company, Inc. and Southern Financial, LLC. Thank you.
575 Lexington Avenue, 4th Floor
New York, New York 10022
Telephone: (212) 971-1314
Telecopier:
Mobile:
email:
[attachment "SHBRK Scann14102912160.pdf" deleted by Ian Hearn/db/dbcom]
[attachment "SHBRK Scann14102912170.pdf" deleted by Ian Hearn/db/dbcom]
The information contained in this communication is confidential, may be
attorney-client privileged, and is intended only for the use of the addressee. It is the
property of
Darren K. Indyke, PLLC. Unauthorized use, disclosure or copying of this
communication or any part thereof is strictly prohibited and may be unlawful. If you have
received this communication in error, please notify us immediately by return e-mail, and
destroy this communication and all copies thereof, including all attachments.
Copyright of Darren K. Indyke, PLLC - 0 2014 Darren K.
Indyke, PLLC - All rights reserved.
On Oct 21, 2014, at 3:20 PM, Amanda Kirby e
> wrote:
PROT3
Classification: Confidential
Darren/ Rich -- Part two.
I am reaching out to you in regards to CFTC's ruling on Segregated
Initial Margin. In November 2013, the CFTC published its final requirements that all swap dealers and major swap participants must
notify their clients of their right to require segregation of margin
(other than variation margin) for uncleared swap transactions. The new
regulation became effective on January 6, 2014 and requires all "new counterparties" of a swap dealer or major swap participant as of this
date to comply with the regulation as of May 5, 2014. For market participants that were existing counterparties on or prior to January
6,
2014, the compliance date is November 3, 2014.
You have been identified as the Responsible Officer for your organization and are being asked to reply with your organization's
election to require or not to require initial margin segregation in accordance with the CFTC Segregation Regime. To avoid potential trading
disruptions, please complete the attached document entitled "IM
Segregation Election Notice" and return it as soon as possible. For your
reference, FAQs are also attached.
If you have any questions do not hesitate to contact me.
Thank you
Best,
Amanda Kirby
<Mail Attachment.gif>
Amanda Kirby
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel.
Fax
Email
<Mail Attachment.gif>
PROT4
Securities offered through Deutsche Bank Securities Inc.
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.<Approved
IM Segregation FAQs WM.doc><Reviewed DBTCA Segregated Acct Fee
Schedule.pdf><SF Approved IM Segregation Election Notice WM V2 revised
8.19.14.doc><ST Approved IM Segregation Election Notice WM V2 revised
8.19.14.doc>
PROT5