EFTA Document EFTA01398316

Subject: RE: KCP Collateral Flow [I] From: Paolo De-Leon < =.> Date: Thu, 22 Feb 2018 10:01:52 -0500 To: Davide-A Sferrazza Xavier Avila Keith Buckholz GM Davide, KYC- "Know Your Client" PCR- "Preventative Crime Research" RDC- "Regulatory Data Corp" Teresa Metallo's group was previously in charge of providing those documents, so she may be a good resource to reach out to if you need some pointing in the right direction. Thanks, Paolo From: Davide-A Sferrazza Sent: Wednesday, February 21, 2018 6:54 PM To: Xavier Avila ; Keith Buckholz Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow [I] Classification: For internal use only Yes, happy to take point here. EFTA01398316 Like Xavi mentions, I'm also not sure what PCR and RDC refer to — can you please clarify and I'll provide for the accts below? Thank you, Davide From: Xavier Avila Sent: Wednesday, Februar 21, 2018 11:44 AM To: Keith Buckholz ; Davide-A Sferrazza <clavicle- > Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow [I] Sounds good, DAvide can you pls take the lead and let me know if any issues? I don't know what PCR and RDC stands for. Thanks Xavi From: Keith Buckholz Sent: Wednesday, Februar 21, 2018 11:19 AM To: Xavier Avila ; Davide-A Sferrazza <clavicle- Cc: Paolo De-Leon a Subject: RE: KCP Collateral Flow [I] Hi Xavi, These are the three docs I referred to in our conversation at my desk last week. The Collateral Admin group requires a dummy LS2 facility to be set up to enable the WM collateral value to show up in CMV. That group will not EFTA01398317 set up an LS2 facility for a new client unless they have certain documentation / information (KYC, PCR, RDC, SIC code, NACE code); BRM will provide the SIC and NACE codes. We'll also ask the documentation team (i.e. Ellenoi) to build this into their required doc list so we don't have to ask you moving forward. Regards, Keith From: Paolo De-Leon Sent: Wednesday, Februar 21, 2018 10:43 AM To: Xavier Avila ; Davide-A Sferrazza <davide- Cc: Keith Buckholz ‹ > Subject: KCP Collateral Flow Hello Xavi and Davide, Can you kindly provide the following documents for the below three KCP clients. These docs are required so that we can on board these clients into our daily derivative report, which will allow collateral values to flow correctly. Client name Docs needed The Lamia Ventures Corp KYC, PCR, RDC PW Focus Fund LLC KYC, PCR, RDC Southern Financial LLC EFTA01398318 KYC, PCR, RDC Thanks and regards, Paolo EFTA01398319