EFTA Document EFTA01406741

Subject: FW: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] [C] From: Davide-A Sferrazza ‹ > Date: Mon, 09 Apr 2018 18:14:50 -0400 To: Martin Zeman Cc: Liam Osullivan Nina Tona Classification: Confidential Martin, In the below chain, the FATCA outreach team stated that they only required the W-9 for Southern Financial (attached). If Zack and company do in fact need the FATCA form completed, I did not see it anywhere on our saved drive. Ellenoi confirmed that we wouldn't have it from the OTC onboarding, as it was not a requirement at the time we onboarded them. Regards, Davide {cid:[email protected]} Davide Sferrazza Analyst I Key Client Partners Deutsche Deutsche 345 Park Tel. Mobile Email Bank Securities, Inc. Bank Wealth Management Avenue, 10154-0004 New York, NY, USA From: Izzie Wong EFTA01406741 Sent: Tuesday, November 28, 2017 5:39 AM To: Liam Osullivan ; FATCA Outreach Cc: Thomas Fadian >; Davide-A Sferrazza Subject: RE: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] Hi Liam, Thank you for providing this documentation. This is all that we need from the client. We will send this form onto the validation team, and shall inform you if anything further is required. Many thanks. fcid:1 [email protected] Izzie Wong Client Outreach COO Global Market Operations Five Brindle lace, B1 23B Birmingham, United Kingdom Tel. Email Deutsche Bank Birmingham EFTA01406742 From: Liam Osullivan Sent: 27 November 2017 14:37 To: FATCA Outreach Cc: Thomas Fadian Davide-A Sferrazza Subject: RE: US FATCA Outreach [I] ; Vahe Stepanian ; Izzie Wong < >; S - Client Email Contact Required - 1007406812 Classification: For internal use only Hello, I have attached the new W-9 that the client provided. Do we need to request anything else from the client? As I mentioned in my earlier email the client does not believe that they need to complete the FACTA paperwork. They said for tax purposes they are considered a US entity Thank you, Liam {https://brandportal.intranet.db.com/img/modules/logo.gif} Liam O'Sullivan AVP I Key Client Partners - US DB Securities Inc Deutsche Bank Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Email EFTA01406743 KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Liam Osullivan Sent: Tuesday, November 21, 2017 4:48 PM To: FATCA Outreach Cc: Thomas Fadian Davide-A Sferrazza Subject: RE: US FATCA Outreach [I] ; Vahe Stepanian Izzie Wong < MM>; > - Client Email Contact Required - 1007406812 Classification: For internal use only Good afternoon, The client came back and said they do not believe that they need to complete the FACTA paperwork. They said for tax purposes they are considered a US entity. They will provided us with a new W-9. They said they have not been required to do this at the other firms where they have accounts. EFTA01406744 Please advise. Thank you, Liam From: Thomas Fadian On Behalf Of FATCA Outreach Sent: Friday, November 17, 2017 5:50 AM To: Vahe Stepanian Wr Cc: Thomas Fadian ; Izzie Wong Liam Osullivan ; Davide-A Sfer Subject: RE: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] Classification: For internal use only Hi Vahe, Hope all is well. With regard to the updated FATCA documents have you yet received a response from the client? If so, have they provided a time frame in which they expect to provide the updated docs? Best regards, fcid:[email protected] EFTA01406745 FATCA Outreach Team Client Data Services I COO Global Markets Operations Deutsche Bank Birmingham Five Brindleyplace, 81 23B Birmingham, United Kingdom Email From: Vahe Stepanian Sent: 06 November 2017 18:33 To: FATCA Outreach < ; Courteney B Fornal Cc: Thomas Fadian >; Liam Osullivan ; Davide-A Sferrazza ‹ > RE: US FATCA Outreach - Client Email Contact Required - 1007406812 Subject: [I] Classification: For internal use only Ok — we requested both FACTA form and an updated W9 from the client. From: Izzie Wong On Behalf Of FATCA Outreach Sent: Friday, November 03, 2017 11:51 AM To: Vahe Stepanian ; FATCA Outreach B Fornal < Cc: Thomas Fadian ; Liam Osullivan ; Davide-A Sferrazza Subject: RE: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] Hi Vahe, EFTA01406746 We are requiring a W-Form for the entity in question. Please find below acceptable and unacceptable versions of said form: {cid:[email protected]} Please let me know if you require anything further. Many thanks in advance. {cid:[email protected]} FATCA Outreach Team Client Data Services I COO Global Markets Operations Deutsche Bank Birmingham Five Brindle lace, B1 23B Birmingham, United Kingdom Email From: Vahe Stepanian Sent: 03 November 2017 14:44 To: FATCA Outreach ; Courteney B Fornal Cc: Thomas Fadian ; Liam Osullivan ; Davide-A Sferrazza Izzie Wong Subject: RE: US FATCA Outreach [I] - Client Email Contact Required - 1007406812 Classification: For internal use only Apologies for the delay in coming back. This wasn't actually part of the document package that was sent to the client. Can you please confirm all you EFTA01406747 need is the attached form? Thanks, Vahe From: Izzie Wong On Behalf Of FATCA Outreach Sent: Friday, November 03, 2017 10:23 AM To: Vahe Ste anian -; Courteney B Fornal Cc: Thomas Fadian ; Liam Osullivan ; Davide-A Sferrazza Izzie Wong Subject: RE: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] Hi Vahe, Any update regarding the below? Many thanks. fcid:[email protected] FATCA Outreach Team Client Data Services I COO Global Markets Operations Deutsche Bank Birmingham Five Brindle lace, B1 23B Birmingham, United Kingdom Email EFTA01406748 From: Vahe Stepanian Sent: 24 October 2017 17:48 To: Courteney B Fornal FATCA Outreach Cc: Thomas Fadian ; Liam Osullivan ; Davide-A Sferrazza Subject: RE: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] Classification: For internal use only Removing Tazia — but I believe we just actually requested this from the client. We'll be back to you. Thank you, Vahe From: Courteney B Fornal Sent: Tuesday, October 24, 2017 12:03 PM To: FATCA Outreach < Cc: Thomas Fadian ; Tazia Smith Subject: RE: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] >; Vahe Stepanian Classification: For internal use only Adding in the relationship managers Tazia & Vahe {https://brandportal.intranet.db.com/img/modules/logo.gif} Courteney Fornal EFTA01406749 Global Markets Complex Equity Deutsche Bank Securities Inc. 60 Wall Street New York, NY 10005-2836 Direct Desk Fax • Email eDisclaimer http://onn.theocc.com/publications/risks/riskstoc.pdf From: Thomas Fadian On Behalf Of FATCA Outreach Sent: Tuesday, October 24, 2017 10:43 AM To: Courteney B Fornal Cc: Thomas Fadian Subject: US FATCA Outreach - Client Email Contact Required - 1007406812 [I] Classification: For internal use only Dear Courteney, As per our internal records and the past trading relationship information we have, you appear to hold a Front Office relationship with the following client(s): Counter Party CRDS ID Client Name UP CRDS ID EFTA01406750 UP CRDS Name Booking Entity Strategic Equities Transactions Group - Deutsche Bank Securities Inc Southern Financial, LLC DB AG (London) We are required to reach out to the above client(s) to obtain FATCA tax documentation, as these client accounts were not included as part of the original FATCA PADD outreach exercise. Can you provide us with a suitable client email address and/or telephone number for us to send our standard communication? If you are not the correct contact then please advise and we will update our records accordingly. Alternatively, let us know if you would prefer to contact the client yourself. Due to the size of the remediation exercise we may be required to contact you in the future regarding other clients you have a relationship with, we are attempting to keep this to a minimum. If any of the above is unclear please do not hesitate to respond. Many thanks in advance for your assistance. fcid:[email protected] FATCA Outreach Team Client Data Services I COO Global Markets Operations Deutsche Bank Birmingham Five Brindleyplace, B1 23B Birmingham, United Kingdom EFTA01406751 Email. EFTA01406752