Subject: Re: Fw: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] From: Amanda Kirby <a. Date: Thu, 30 Oct 2014 09:12:33 -0400 To: Ian Hearn Cc: DeAWM-WM DerivativeDocs Paul Morris < Vahe Stepanian Classification: Confidential All are correct except for Darren's. See below 'eevacation mail.com, Best, Amanda Kirby (Embedded image moved to file: pic28714.gif) Amanda Kirby Deutsche Deutsche 345 Park Tel. Fax Email Bank Trust Company Americas Asset & Wealth Management Avenue, 10154-0004 New York, NY, USA (Embedded image moved to file: pic14004.gif) Securities offered through Deutsche Bank Securities Inc. From: dbcom To: Ian Hearn/db/- Amanda Kirby/db/- EFTA01471531 Cc: Date: AM DeAWM-WM DerivativeDocs/db/ , Paul Morris/db/- , Vahe Stepanian/db/ 10/30/2014 09:06 Subject: Re: Fw: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] Classification: Confidential Amanda, thank you so much... for this. Can you just check the email address's and confirm these are correct? 'eevacation mail.com, Regards Ian Hearn Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. E-Mail: From: dbcom Amanda Kirby/db/- To: Ian Hearn/db/- EFTA01471532 Cc: Date: AM DeAWM-WM DerivativeDocs/db/ , Vahe Stepanian/db/ 10/30/2014 09:00 , Paul Morris/db/- Subject: Fw: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] Classification: Confidential Ian, Please see attached Best, Amanda Kirby (Embedded image moved to file: pic09481.gif) Amanda Kirby Deutsche Deutsche 345 Park Tel. Fax Email Bank Trust Company Americas Asset & Wealth Management Avenue, 10154-0004 New York, NY, USA (Embedded image moved to file: pic16285.gif) Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby/db/dbcom on 10/30/2014 08:59 AM From: Darren Indyke •aa' EFTA01471533 To: Amanda Kirby/db/- Date: PM 10/29/2014 06:13 Subject: Re: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] Please see attached. Thanks. DARREN K. INDYKE DARREN K. INDYKE, PLLC 575 Lexington Avenue, 4th New York, New York 10022 Telephone: Telecopier: Mobile: email: Floor [attachment "Collateral Contact Documents for STC and SF LLCSHBRK Scann14102917400.pdf" deleted by Ian Hearn/db/dbcom] ***************************************************************************** ***************** The information contained in attorney-client privileged, and is intended property of Darren K. Indyke, PLLC communication or any part thereof is received this communication in error, please notify us immediately by return e-mail, and destroy this communication and all copies thereof, including all attachments. Copyright of Darren K. Indyke, PLLC - 0 2014 Darren K. this communication is confidential, may be only for the use of the addressee. It is the Unauthorized use, disclosure or copying of this strictly prohibited and may be unlawful. If you have EFTA01471534 Indyke, PLLC — All rights reserved. ***************************************************************************** ****************** On Oct 29, 2014, at 5:04 PM, Amanda Kirby cz :. wrote: Classification: Confidential Darren -- Compliance reminded me that we also need these forms for the Dodd Frank ruling. Please fill out/sign and return. Let me know if you have any questions Best, Amanda Kirby <Mail Attachment.gif> Amanda Kirby Deutsche Deutsche 345 Park Tel. Fax Email Bank Trust Company Americas Asset & Wealth Management Avenue, 10154-0004 New York, NY, USA <Mail Attachment.gif> Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby/db/dbcom on 10/29/2014 05:02 PM From: Amanda Kirby/db/- dbcom To: Cc: Paul Morris/db/ , Vahe Stepanian/db/- Date: 10/21/2014 03:16 PM EFTA01471535 Subject Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] Classification: Confidential Darren/Rich, Per our conversation please see the below. I will need one copy for Southern Trust and one for Southern Financial This is part one. I will be sending over part two shortly. We are reaching out to you in regards to CFTC's ruling on Segregated Initial Margin. In November 2013, the CFTC published its final requirements that all swap dealers and major swap participants must notify their clients of their right to require segregation of margin (other than variation margin) for uncleared swap transactions. The new regulation became effective on January 6, 2014 and requires all "new counterparties" of a swap dealer or major swap participant as of this date to comply with the regulation by May 5, 2014. For market participants that we're existing counterparties on or prior to January 6th, 2014, the compliance date is November 3, 2014. In order to provide the delivery of notices to the required personnel, as defined by the CFTC Regulation, and to avoid potential trading disruptions, please provide your Responsible Officer information by completing the attached template as soon as possible and returning it to your sales representative. If you are not the correct contact for this email, kindly forward to the appropriate contact at your organization. If you have any questions, please feel free to contact me. Best, EFTA01471536 Amanda Kirby <Mail Attachment.gif> Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email <Mail Attachment.gif> Securities offered through Deutsche Bank Securities Inc. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such.<SF Approved IA Seg Advisory (DB) WM Americas 4.8.14 revised 8.19.14.doc><ST Approved IA Seg Advisory (DB) WM Americas 4.8.14 revised 8.19.14.doc> EFTA01471537