EFTA Document EFTA01410568

Subject: Southern Financial Collateral Acct [I] From: Roddy Moore dINIIIIII=IIIMPIIIMER> Date: Wed, 02 Sep 2015 14:56:34 -0400 To: Daniel Sabba Vahe Stepanian < Ariane Dwyer Cc: Troy-D Williams <MMII >, Nicholas Haigh a> Classification: For internal use only All of the facts should be widely known at this point. CRM doesn't set up accts. If it isn't KCP, then it's someone who KCP is working with to get the accts set up. They weren't set up properly from the beginning, because the back office hasn't been provided what they need to do so. This is ultimately KCP's responsibility. CRM has nothing to do with onboarding. There have been numerous emails on this on which your team has been included. From: Daniel Sabba Sent: Wednesday, September 02, 2015 2:50 PM To: Roddy Moore; Vahe Stepanian; Ariane Dwyer Cc: Troy-D Williams Subject: RE: URGENT: Collateral Admin - Classification: For internal use only [I] I am still gathering the facts here, but who set up these collateral accounts initially? Was it CRM or KCP? And why weren't they set up correctly from the beginning? From: Roddy Moore Sent: Wednesday, September 02, 2015 2:40 PM To: Vahe Stepanian; Ariane Dwyer Cc: Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Admin - [I] EFTA01410568 Classification: For internal use only If she is out, then why can't you take care of it? The collateral still isn't being monitored properly. Given what happened last week, I'd hope that we'd want to spare your team from having to go back to the client with a call that contradicts his exposure report. From: Vahe Stepanian Sent: Wednesday, September 02, 2015 2:37 PM To: Roddy Moore; Ariane Dwyer Cc: Troy-D Williams; Daniel Sabba Subject: RE: URGENT: Collateral Admin - 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; Daniel Sabba Subject: RE: URGENT: Collateral Admin - Classification: For internal use only Is this done? [I] From: Roddy Moore EFTA01410569 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 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 - [I] EFTA01410570 Classification: For internal use only It's my understanding that this is part of onboarding. Have you tried Caleb or Joe? From: Ariane Dwyer 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 EFTA01410571 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] 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 {cid:[email protected]} EFTA01410572