EFTA Document EFTA01408552

Subject: Re: KCP Collateral Flow [I] [C] From: Xavier Avila Date: Wed, 28 Feb 2018 07:36:33 -0500 To: Davide-A Sferrazza All clear on what needs to be done here? On Feb 27, 2018, at 08:58, Paolo De-Leon < > wrote: Thanks Davide, You can continue to send directly to me and I'll go ahead and save into their respective client folders and also interface with the appropriate teams to have them set up on the margining system. Thanks again! Paolo From: Davide-A Sferrazza Sent: Monday, February 26, 2018 5:36 PM To: Cc: c: IMENNaiala Keith Buckholz Subject: RE: KCP Collateral Flow [I] [C] Classification: Confidential Paolo, Please see the requested docs attached for Southern Financial LLC. Will provide for the other two entities when they are done. Is there someone EFTA01408552 I should send these to directly going forward? Thanks, Davide From: Paolo De-Leon Sent: Thursday, February 22, 2018 10:02 AM To: Davide-A Sferrazza Xavier Avila Keith Buckholz Subject: RE: KCP Collateral Flow [I] 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 EFTA01408553 Subject: RE: KCP Collateral Flow [I] Cc: Paolo De-Leon Subject: RE: KCP Classification: For internal use only Yes, happy to take point here. 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 Cc: Paolo De-Leon Subject: RE: KCP Co atera ow Davide-A Sferrazza 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, February 21. 2018 11:19 AM Davide-A Sferrazza EFTA01408554 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 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, February 21, 2018 10:43 AM To: Xavier Avila Davide-A Sferrazza Cc: Keith Buckholz Subject: KCP Collatera ow 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 EFTA01408555 The Lamia Ventures Corp KYC, PCR, RDC PW Focus Fund LLC KYC, PCR, RDC Southern Financial LLC KYC, PCR, RDC Thanks and regards, Paolo EFTA01408556