EFTA Document EFTA01410473

Subject: RE: URGENT: Collateral Admin - From: Vahe Stepanian < => Date: Wed, 02 Sep 2015 14:36:37 -0400 To: Roddy Moore <=a, Ariane Dwyer <M > Cc: Troy-D Williams >, Daniel Sabba Classification: For internal use only [I] Roddy — Ari is out of the office today. She will follow up with you tomorrow morning. Thank you, Vahe From: Roddy Moore Sent: Wednesday, September 02, 2015 2:33 PM To: Ariane Dwyer Cc: Vahe Stepanian; Troy-D Williams; Dani Subject: RE: URGENT: Collateral Admin - [I] Classification: For internal use only Is this done? From: Roddy Moore Sent: Wednesday, September 02, 2015 10:30 AM To: Ariane Dwyer Cc: Vahe Stepanian; Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Admin - Classification: For internal use only [I] Why don't you just look at your existing clients, and have the back office EFTA01410473 send you the SIC codes for those similar to SF/ST? Have them mimic the one for JAWS, as it's the same kind of client. Hopefully, we can finally bring closure to this. From: Ariane Dwyer Sent: Monday, August 31, 2015 1:25 PM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - Classification: For internal use only Hi Roddy, [I] Joe is on his MTA and I spoke with Caleb and Andy and they both do not know. Any other ideas? Best, Ari From: Roddy Moore Sent: Monday, August 31, 2015 11:23 AM To: Ariane Dwyer Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - Classification: For internal use only [I] It's my understanding that this is part of onboarding. Have you tried Caleb or Joe? From: Ariane Dwyer EFTA01410474 Sent: Monday, August 31, 2015 11:15 AM To: Roddy Moore Cc: Vahe Stepanian Subject: RE: URGENT: Collateral Admin - Classification: For internal use only Hi Roddy, [I] I just spoke with Ellenoi and Mary Davitt and they do not work with SIC codes. Do you know who else could provide this information? Best, Ari From: Roddy Moore Sent: Friday, August 28, 2015 2:56 PM To: Ariane Dwyer Cc: Vahe Stepanian; Daniel Sabba; Collateral Admin-NY Subject: URGENT: Collateral Admin - [I] Classification: For internal use only This should be sent to the back office. CC'd... They'll also need the SIC code to set up the acct. From: Ariane Dwyer Sent: Friday, August 28, 2015 2:54 PM To: Roddy Moore Cc: Vahe Stepanian; Daniel Sabba Subject: [I] EFTA01410475 Classification: For internal use only Please find attached KYCs for Southern Financial. Best, Ari fcid:[email protected] Ariane Dwyer Analyst I Key Client Partners - US Deutsche Bank Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 26 New York, NY, 10154-0004 Tel. +1(212)250-3228 Email fcid:[email protected] EFTA01410476