Text extracted via OCR from the original document. May contain errors from the scanning process.
Step 1 [C]
Cc: DeAWM-WM DerivativeDocs
Paul Morris
Vahe Stepanian
Classification: Confidential
Ian,
Please see attached
Best,
Amanda Kirby
(Embedded image moved to file: pic15401.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: pic31667.gif)
Securities offered through Deutsche Bank Securities Inc.
Forwarded by Amanda Kirby on 10/30/2014 08:59 AM
From:
Darren Indyke
<MMa•
To:
Amanda Kirbylill-
Date:
PM
10/29/2014 06:13
PROT0
Subject:
Re: Dodd Frank Initial Margin Segregation Rule Nov 3rd
Deadline - Step 1
[C]
Please see attached. Thanks.
575 Lexington Avenue, 4th
New York, New York 10022
Telephone:
Telecopier:
Mobile:
email:
Floor
(See attached file: Collateral Contact Documents for STC and SF LLCSHBRK
Scann14102917400.pdf)
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 29, 2014, at 5:04 PM, Amanda Kirby a wrote:
Classification: Confidential
PROT1
Darren -- Compliance reminded me that we also need these forms for the
Dodd Frank ruling. Please fill out/sign and return. Let me know if you
have any questions
Best,
Amanda Kirby
<Mail Attachment.gif>
Amanda Kirby
Deutsche
Deutsche
345 Park
Tel.
Fax
Email
Bank Trust Company Americas
Asset & Wealth Management
Avenue, 10154-0004 New York, NY, USA
<Mail Attachment.gif>
Securities offered through Deutsche Bank Securities Inc.
Forwarded by Amanda Kirby on 10/29/2014 05:02 PM
From:
Amanda Kirby
To:
Cc:
Paul Morris
Date:
10/21/2014 03:16
PM
Subject Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step
1
, Vahe Stepanian
[C]
PROT2
Classification: Confidential
Darren/Rich,
Per our conversation please see the below. I will need one copy for
Southern Trust and one for Southern Financial This is part one. I will
be sending over part two shortly.
We are 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 by May 5, 2014. For market participants that we're existing counterparties on or prior to January
6th, 2014, the compliance date is November 3, 2014.
In order to provide the delivery of notices to the required personnel,
as defined by the CFTC Regulation, and to avoid potential trading disruptions, please provide your Responsible Officer information by
completing the attached template as soon as possible and returning it
to
your sales representative.
If you are not the correct contact for this email, kindly forward to the
appropriate contact at your organization. If you have any questions, please feel free to contact me.
Best,
Amanda Kirby
<Mail Attachment.gif>
Amanda Kirby
Deutsche Bank Trust Company Americas
PROT3
Deutsche Asset & Wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel.
Fax
Email
<Mail Attachment.gif>
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.<SF
Approved IA Seg Advisory (DB) WM Americas 4.8.14 revised
8 19.14.doc><ST
Approved IA Seg Advisory (DB) WM Americas 4.8.14 revised 8.19.14.doc>
PROT4