Skip to main content
Skip to content
Case File
sd-10-EFTA01455876Dept. of JusticeOther

EFTA Document EFTA01455876

Counterparty:_Southern Financial LLC Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 rant IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact info

Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01455876
Pages
1
Persons
0
Integrity
Loading PDF viewer...

Summary

Counterparty:_Southern Financial LLC Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 rant IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact info

Ask AI About This Document

0Share
PostReddit

Extracted Text (OCR)

EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Counterparty:_Southern Financial LLC Address: Deutsche Asset & Wealth Management Date: Re: Contact Information For Purposes of CFTC Regulation 23.701 Dear Sir or Madam: The following contact information is being provided for purposes of your delivery of notices pursuant to CFTC Regulation 23.701 rant IM Segregation Right Notices"). CFTC 1M Segregation Right Notices for Counterparty may be provided to the person identified below (the "Collateral Contact") using the following contact information.' I. Collateral Contact Type2 (please select one)3 O Officer responsible for the management of collateral El Chief Risk Officer of the Counterparty CI Chief Executive Officer of the Counterparty O Highest-level decision-maker for the Counterparty Collateral Contact Name: III. Collateral Contact E-mail Address: 2 3 Market participants should note that Collateral Contact information should be updated as appropriate to avoid potential trading disruptions in future years. See CFTC Regulation 23.701(e) (requiring notice at least once per calendar year). CFTC Regulation 23.701(c) states that the notification required pursuant to CFTC Regulation 23.701(a) must be made to an officer of the counterparty responsible for the management of collateral if such an officer has been identified to the swap dealer or major swap participant. If no such person has been identified by the Counterparty, then the notification must be made to (persons using this form should select accordingly): the Chief Risk Officer of the counterparty: or if them is no such officer, the Chief Executive Officer, or if none, the highest-level decision-maker for the counterparty. Please note that while only one "Collateral Contact Type" should be selected, market participants may provide information for more than one Collateral Contact. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0114884 CONFIDENTIAL SONY GM_00261088 EFTA01455876

Forum Discussions

This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.

Annotations powered by Hypothesis. Select any text on this page to annotate or highlight it.