EFTA Document EFTA01401031

Subject: Re: Fw: Request ID **Private Client Services (PWM _ Alex Brown)*** [I From: Amanda Kirby c > Date: Wed, 12 Mar 2014 14:59:11 -0400 To: Vahe Stepanian < > Classification: For internal use only OK. Seems like we'll need 2 copies. For SF and ST Kind regards, Amanda Kirby (Embedded image moved to file: pic28044.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas Deutsche Asset 6 Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel Fax Emai (Embedded image moved to file: pic22731.gif) Securities offered through Deutsche Bank Securities Inc. From: To: Date: 03/12/2014 02:55 PM Subject: I] Fw: Request ID **Private Client Services (PWM _ Alex Brown)*** [ Classification: For internal use only Amanda - I need to find out more details about this, but lets incorporate this into the meeting tmw. Forwarded by Vahe Stepanian/db/dbcom on 03/12/2014 02:54 PM From: To: Date: 03/12/2014 02:44 PM EFTA01401031 Subject: Re: Fw: Request ID **Private Client Services (PWM _ Alex Brown)' ** (I] Classification: For internal use only Vahe, We need to send out the following documents to Jeffrey Epstein to sign for both Souther Financial and Southern Trust. As Jeffrey has signed the DF protocol, but not the updated EMIR protocol (result of recent regulatory changes), the attached document is necessary and outstanding. This document covers the EMIR requirements that were not part of our original Dodd Frank protocol. (attachment "DB Wealth - DF Protocol Amendment No 1 Final 10.29.13.pdf" deleted by Amanda Kirby/db/dbcomj 1) Sections 1.2 and 1.6. i.) These sections request the client to specify whether they Are or Are Not a Financial Counter-party. This is of great importance. I have attached a document which breaks down exactly what criteria define "FC" and "NFC". Please note: the answer can not be the same for both of these questions. Please highlight this to client. ii) If a client classifies as an "RFC", they are subdivided again into NFC+ and NFC-, based on outstanding derivative transactions exceeding certain values. Please see attached EMIR Regulation Document for more information. (attachment "EMIR Regulation Protocol Instruction Deck.pdf" deleted by Amanda Kirby/db/dbcom] Please look over these documents and send through to Amanda to forward on. Thank you Kind Regards, Jay Lipman (Embedded image moved to file: pic03214.gif) Jay Lipman Analyst I Key Client Partners DB Securities Inc Deutsche Asset s Wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. Mobile Email From: Cc: Date: 03/12/2014 11:30 AM EFTA01401032 Subject: I) Fw: Request ID Private Client Services (PWM _ Alex Brown) Classification: For internal use only Please provide the Amendment to the Dodd Frank protocol, which covers the EMIR requirements, for the two clients below to finalize account set up. (Embedded image moved to file: pic18997.gif) Mary Davitt Solutions s Trading Group (STG) Deutsche 345 Park Tel. Fax Mobile Email Asset a Wealth Management Avenue, New York, NY 10154 (Embedded image moved to file: pic06684.gif) Forwarded by Mary Davitt/db/dbcom on 03/12/2014 11:27 AM From: To: Cc: C Date: 03/12/2014 10:35 AM Subject: Re: Request ID **Private Client Services (PWM _ Alex Brown)*** ( I) Classification: For internal use only Hi Mary, The counterparties are : SOUTHERN TST CO SOUTHERN FIN Kind Regards, Amit Naidu (Embedded image moved to file: pic05314.gif) Amit Naidu DBOI Global Services Private Limited Global Business Services EFTA01401033 A-1 d A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India Tel. Mobile Email Level 1 Escalation Contact : P Guru Raju Tel : Email Level 2 Escalation Contact : Ashim Kumar Sharma Tel : email (Embedded image moved to file: pic05872.gif) From: To: Cc: C Date: 03/12/2014 05:49 PM Subject: Re: Request ID **Private Client Services (PWM _ Alex Brown)*** I I] Classification: For internal use only Can you provide the counterparty names. (Embedded image moved to file: pic26228.gif) Mary Davitt Solutions 8 Trading Group (STG) Deutsche Asset & Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Fax Mobile Email (Embedded image moved to file: pic12397.gif) From: To: EFTA01401034 Cc: Date: 03/11/2014 06:45 PM Subject: Request ID **Private Client Services (PWM _ Alex Brown)*** [I) Classification: For internal use only Hi Gedeon/Mary, Kindly confirm whether the client is trading in physical commodities or not for the captioned request IDs. If they are trading in physical commodities please fill the below commodity checklist and attest the same with your signature. [attachment •Commodity KYC Checklist v5 (COB).docx" deleted by Mary Davitt/db/dbcom) If the client is trading in financial please provide DF and EMIR documents. Please provide PCA principle sheet a word questionnaire. Kind Regards, Amit Naidu (Embedded image moved to file: pic14568.gif) Amit Naidu DBOI Global Services Private Limited Global Business Services A-1 a A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India Tel. Mobile Email Level 1 Escalation Contact : P Guru Raju Tel : Email Level 2 Escalation Contact : Ashim Kumar Sharma Tel : email (Embedded image moved to file: pic31859.gif) EFTA01401035