EFTA Document EFTA01398628

Subject: RE: New Derivatives account. [I] From: Paolo De-Leon ‹ > Date: Thu, 11 Jan 2018 11:54:38 -0500 To: Diana Canter Teresa Metallo Cc: Keith Buckholz Thanks, Please retrieve for these below accounts: SOUTHERN FINANCIAL LLC N4G025403 N4G026161 From: Diana Canter Sent: Thursday, January 11, 2018 11:45 AM To: Paolo De-Leon >; Teresa Metallo Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] These are different account numbers than were provided way below originally? Kind regards, Diana Canter {https://brandportal.intranet.db.com/img/modules/- EFTA01398628 DAWM_ logo _metallic 46x46.gifl Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Paolo De-Leon Sent: Thursday, January 11, 2018 11:33 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] The account numbers are below: N4G025098 N4G025114 Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 10:13 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] EFTA01398629 Hello- please see below. From: Teresa Metallo Sent: Thursday, January 11, 2018 10:04 AM To: Paolo De-Leon Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Paolo, Can you provide the client's account number Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # (- From: Paolo De-Leon Sent: Thursday, January 11, 2018 9:57 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] EFTA01398630 Hello Teresa, Can you kindly provide the below documents for Southern Financial LLC? KYC Document PCR Document RDC Document Thank you, Paolo {cid:[email protected]} Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Diana Canter Sent: Wednesday, January 10, 2018 1:39 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] EFTA01398631 Sure — let me know if u need more of if Teresa is not able to help you? D Kind regards, Diana Canter fhttps://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gifl Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Keith Buckholz Sent: Tuesday, January 09, 2018 4:50 PM To: Diana Canter Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Classification: For internal use only Thanks for the quick follow up. We will reach out to Teresa tomorrow afternoon if we don't hear back from her by then. Thanks again. EFTA01398632 Regards, Keith From: Diana Canter Sent: Tuesday, January , 2018 4:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Hi Keith — I tried to call you but no voice mail .7 Gideon used to work for Teresa Metallo so I have reached out to her She is checking on this one Just fyi — one of the accounts you listed far below has been closed on Pershing since 4/28/2014 D Kind regards, Diana Canter {https://brandportal.intranet.db.com/img/modules/- DAWM_ logo_ metallic 46x46.gif} Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. Deutsche Bank Wealth Management EFTA01398633 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:21 PM To: Diana Canter Cc: Paolo De-Leon Subject: FW: New Derivatives account. [I] Classification: For internal use only Hi Diana, We are looking for some KYC information on a client. Do you know who can provide us with this information? We are being told an LS2 facilty cannot be setup without these docs (which we need to set up an OTC collateral account). Apparently, Gideon Pinedo helped with this process in the past. Thanks. KYC Document PCR Document RDC Document Regards, Keith From: Funda Bozkurt Sent: Tuesday, January 09, 2018 2:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] EFTA01398634 You can ask Zia Memon /Diana Canter. The team reports to him. Funda Bozkurt Deutsche Bank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Email From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:15 PM To: Funda Bozkurt Cc: Paolo De-Leon Subject: FW: New Derivatives account. [I] Importance: High Classification: For internal use only Hi Funda, Do you know who owns or maintains KYC documentation (for WM accounts)? Thanks. Regards, Keith From: Keith Buckholz EFTA01398635 Sent: Friday, December 08, 2017 11:38 AM To: Srikanta Gouda Cc: Nitin-X Singh Sendhil-kumar Subject: RE: New Importance: High Derivatives account. [I] ; Surendra Singh ; Collateral Admin-NY ; Collateral Admin-NY CUSTOMERBUILD BLO ; 'FX Middle Office' ; Debra Jasper >; Halina Laczny ; CRM-PWM Derivatives ; Collateral-Assets Newyork Classification: For internal use only Hi Srikanta, ; Roxanne Scott ; Hiren Mathur Is there an escalation point for this issue? Going forward BRM will not be providing KYC documentation to have collateral accounts set up. Thanks. Regards, Keith Keith Buckholz, CAIA Director I Credit Risk Officer Deutsche Bank Wealth Management Business aligned Risk Management 345 Park Avenue, MS NYC20-1406 New York, NY 10154 EFTA01398636 Tel: Mobile: From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda Cc: Nitin-X Sin Sendhil-kumar Enid Ellis Subject: RE: New Srikanta, ; Surendra Sin h ; Collateral Admin-NY < > ; Collateral Admin-NY CUSTOMERBUILD BLO ; FX Middle Office ; Debra Jasper < ; Halina Laczny CRM-PWM Derivatives ; Collateral-Assets Newyork > Derivatives account. [I] ; Roxanne Scott ; Hiren Mathur I was asking if you knew someone (an actual person) who has provided your team with these docs in previous requests. I'll reach to that person for the documents your team requires. Thanks. Keith Sent with BlackBerry Work (www.blackberry.com) From: Srikanta Gouda ‹ > Date: Monday, Nov 20, 2017, 1:43 PM EFTA01398637 To: Surendra Sin h , Keith Buckholz , Collateral Admin-NY Cc: Nitin-X Singh Sendhil-kumar , Collateral Admin-NY , CUSTOMERBUILD BLO , FX Middle Office < , Debra Jasper >, Halina Laczny , CRM-PWM Derivatives , Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only As mentioned earlier... , Roxanne Scott Hiren Mathur "Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client" Yes.. but not sure, whom do Requester or CRM reach out to get these documents. Thanks Kind regards, Srikanta Gouda fcid:[email protected] Srikanta Gouda Process Supervisor DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, EFTA01398638 India Email From: Surendra Singh Sent: Tuesday, November 21, 2017 12:06 AM To: Keith Buckholz ; Srikanta Gouda ; Collateral Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K < ; FX Middle Office ; Debra Jasper >; Halina Laczny Office .•; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Srikanta, Please advise Keith on below mail. Kind regards, Surendra Singh ; Roxanne Scott FX Middle {Description: Description: cid:[email protected]} Surendra Singh Associate I C00 Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jai ur, India Tel. EFTA01398639 Fax Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh < ; Srikanta Gouda ; Collateral Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K < ; FX Middle Office < ; Debra Jasper >; Halina Laczny Office < ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surenda, ; Roxanne Scott FX Middle We do need this set up. I am trying to track down these documents, not sure who has them. When the dummy account is set up in LS2, who normally provides these docs? Thanks. Regards, Keith EFTA01398640 From: Surendra Singh Sent: Monday, November 20, 2017 1:09 PM To: Srikanta Gouda < ; Keith Buckholz ; Collateral Admin-NY Cc: Nitin-X Sin >; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar FX Middle Office < Office CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] >; Debra Jasper Haling Laczny ; Hiren Mathur Classification: For internal use only Hello Keith, >; Roxanne Scott ; FX Middle Please confirm if below request was completed or it is not needed to be set up anymore. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile Email EFTA01398641 Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Sin 'h -; Keith Buckholz ; Collateral Admin-NY Cc: Nitin-X Sin .h ; Collateral Admin-NY ; CUSTOMERBUILD BLO ; FX Middle Office ; Debra Jasper < ; Roxanne Scott ; Halina Laczny FX Middle Office < -; Hiren Mathur CRNI-PWM Derivatives ; Enid Ellis < ; Collateral-Assets Newyork Sendhil-kumar K Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, Generally we do not required the below information in order to setting up a New DDR account.( If the Client is already On boarded to LS2 ). However in this case, We do not see the client is onboard to LS2, in order to onboard the client, Customerbuild team would require the below information. Once the client is onboard, we will go head and create the collateral account. Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client. Please feel free to reach out to me if you have any question. Kind regards, Srikanta Gouda EFTA01398642 {cid:[email protected]} Srikanta Gouda Process Supervisor DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email From: Surendra Singh Sent: Wednesday, November 15, 2017 1:43 AM To: Keith Buckholz ; Collateral Admin-NY Cc: Srikanta Gouda ; Nitin-X Singh ; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K < ; FX Middle Office ; Debra Jasper < ; Roxanne Scott < ; Halina Laczn < ; FX Middle Office ; Hiren Mathur >; CRM-PWM Derivatives ; Enid Ellis < Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, Collateral Team has asked for this information to proceed further. @ Collateral Team, Please assist Keith on below request. EFTA01398643 Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I C00 Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh Cc: Srikanta Gouda ; Nitin-X Singh IS Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K < ; FX Middle Office • ; Debra Jasper < >; Roxanne Scott < ; Halina Laczn < ; FX Middle Office Hiren Mathur CRM-PWM Derivatives >; Enid Ellis < Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surendra, EFTA01398644 Can you please let me know who is asking for this information? We have never provided this information in the past when setting up new DDR accounts. I also don't have access to the requested documents. Thanks. Regards, Keith From: Surendra Singh Sent: Tuesday, November 14, 2017 11:00 AM To: Keith Buckholz Cc: Srikanta Gouda ; Nitin-X Singh Admin-NY ; CUSTOMERBUILD BLO Surendra Singh kumar K ; FX Middle Office ; Debra Jasper Halina Laczny Office ; Hiren Mathur CRM-PWM Derivatives -; Enid Ellis ; Surendra Singh Subject: FW: New Derivatives account. [I] Classification: For internal use only Hello Keith, ; Collateral ; Sendhil- ; Roxanne Scott FX Middle Relevant team is asking to provide below information to get this request processed further. Request you to provide the same. SIC Code NACE Code KYC Document EFTA01398645 PCR Document RDC Document Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Tuesday, November 14, 2017 10:22 AM To: Sachiva Gupta Cc: Srikanta Gouda X Singh ; CUSTOMERBUILD BLO ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] ; Surendra Singh >; Collateral Admin-NY Surend ; Nitin- ra Singh EFTA01398646 Classification: For internal use only Hi Sachiva, Please provide the below requested information to Customerbuild team in order to set up the customer in LS2. SIC Code NACE Code KYC Document PCR Document RDC Document @ Sendhil — Once you receive the required information, please set up a Guarantor profile in LS2. Note — Once the Customer is set up and $1 Facility is created in LS2, we will link the collateral account to DDR. Kind regards, Abhijit Mukherjee fcid:[email protected] Abhijit Mukherjee DBOI Global Services Private Limited Global Business Services EFTA01398647 Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip Mobile + Email For Level 1 escalations please contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : fcid:[email protected] From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Saturday, November 04, 2017 1:50 AM To: Sachiva Gupta Cc: Srikanta Gouda ; Surendra Singh ; Nitin- X Singh ; Collateral Admin-NY Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, We did not find the below customer built in LS2. Kindly reach out to Customer build team to get it built under guarantor profile. Thanks. Kind regards, Abhijit Mukherjee fcid:[email protected] Abhijit Mukherjee EFTA01398648 DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip Mobile + Email For Level 1 escalations lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : From: Sachiva Gupta Sent: Friday, November 03, 2017 10:22 PM To: Collateral Admin-NY Cc: Srikanta Gouda ; Abhijit Mukherjee Surendra Singh < .>; Nitin-X Singh Subject: FW: New Derivatives account. [I] Classification: For internal use only Hi All, Could you please add the below client to the DDR? Attached are the SACA and Pledge agreements. Please note there are two accounts for this client. SOUTHERN FINANCIAL LLC N4G025403 N4G026161 Kindly confirm once done. EFTA01398649 Kind Regards, fcid:[email protected] Sachiva Gupta Senior Analyst I Securities Operations - WM US COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Avaya- Fax Mobile + Email mailto: Go green. Consider the environment before printing this email. EFTA01398650