RE: New Derivatives account. [I]

[recipient name redacted]

[recipient 1 redacted][recipient 2 redacted][recipient 3 redacted][recipient 4 redacted]CUSTOMERBUILD BLO

Classification: For internal use only

Hi Abhijit,

Please provide the Credit Agreement, KYC evidence, SIC code and NACE code for this guarantor setup.

Kind Regards,
Sendhil-kumar K
Operations Senior Analyst
DBOI Global Services Private Limited
Ph:+ 44-
Email Sendhil-kumar K/db/dbcom

From: Abhijit Mukherjee
Sent: Thursday, January 18, 2018 11:20 AM
To: CUSTOMERBUILD BLO
Cc: Keith Buckholz ; Srikanta Gouda
; Paolo De-Leon >; Surendra
Singh ; Sendhil-kumar K
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Hi team,

EFTA01398352

Kindly build the below customer under guarantor profile.

Thanks.

Southern Financial LLC

Kind regards,
Abhijit Mukherjee

{cid:image008.png@01D03F70.4C7A39B0}

Abhijit Mukherjee

DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India

Voip
Mobile +91
Email

For Level 1 escalations lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id :

{cid:image009.png@01D03F70.4C7A39B0}

From: Paolo De-Leon Sent: Thursday, January 18, 2018 9:02 PM To: Surendra Sin h < >; Abhijit Mukherjee Cc: Keith Buckholz < ; Srikanta Gouda Subject: RE: New Derivatives account. [I]

Hi Abhijit and Surenda,

EFTA01398353

Just to confirm my understanding of the process, Abhijit's team cannot proceed with adding of the collateral to the daily derivative report until Surenda's team builds a dummy bond in LS2, and Surenda cannot proceed unless she has the below highlighted items? So it seems that process is in a logjam until all the below information is retrieved.

Surenda- in the past when onboarding Wealth Management clients onto LS2, what was the name of the person who provided to you the below information? It seems that in Srikanta note below that CRM is responsible for providing the LS2 team with that information, but CRM is typically involved only with credit risk analysis and margining approval; the information below seems operational and compliance based in nature. I'd like to track down the ultimate owners of the below information so that we can create a process around retrieving this information when setting up new LS2 profiles.

SIC Code

NACE Code

KYC Document

PCR Document

RDC Document

Thanks,

Paolo

{cid:image008.png@01D03F70.4C7A39B0}

Paolo De Leon

EFTA01398354

Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas

Business Risk Management
345 Park Avenue - 14th Floor
New York, NY, USA 10154-0004
Tel.
Email

From: Sachiva Gupta Sent: Wednesday, January 17, 2018 11:07 AM To: Paolo De-Leon >; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Hi,

Please exclude my name from the mail.

Kind Regards,

{cid:image018.png@01D16466.59BF5C10}

Sachiva Gupta

Senior Analyst I Securities Operations - WM US

COO Wealth Management Operations
DBOI Global Services Private Limited

EFTA01398355

A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City -
SEZ, 302029 Jaipur, India
Tel. Avaya- 3382671
Fax
Mobile +91
Email mailto:

Go green. Consider the environment before printing this email.

From: Paolo De-Leon Sent: Wednesday, January 17, 2018 11:02 AM To: Sachiva Gupta < ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I]

Hi Sachiva and Abhijit,

Kindly just following up please. Can you please provide an update.

Thanks,

Paolo

From: Paolo De-Leon
Sent: Thursday, January 11, 2018 4:55 PM
To: Sachiva Gu ta ; Abhijit Mukherjee

Cc: Keith Buckholz
Subject: FW: New Derivatives account. [I]

EFTA01398356

Hello Sachiva and Abhijit,

Please see attached and please proceed with setting up the dummy facility in LS2 so that the collateral can be linked to the DDR.

Thanks,

Paolo

{cid:image008.png@01D03F70.4C7A39B0}

Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas

Business Risk Management
345 Park Avenue - 14th Floor
New York, NY, USA 10154-0004
Tel.
Email

From: Diana Canter
Sent: Thursday, January 11, 2018 4:36 PM
To: Paolo De-Leon ; Teresa Metallo

Cc: Keith Buckholz
Subject: RE: New Derivatives account. [I]

Kind regards,
Diana Canter

EFTA01398357

{https://brandportal.intranet.db.com/img/modules/DAWM_logo_metallic_46x46.gif}

Diana Canter

Director | Supervisory Principals Group-Business Supervisory Office

Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management
1 South Street, 21202-3298 Baltimore, MD, USA
Tel. ██████████
Fax █████████
Email █████████████

From: Paolo De-Leon
Sent: Thursday, January 11, 2018 11:55 AM
To: Diana Canter <>; Teresa Metallo <>
Cc: Keith Buckholz <>
Subject: RE: New Derivatives account. [I]

Thanks,

Please retrieve for these below accounts:

SOUTHERN FINANCIAL LLC

█████████

From: Diana Canter

Sent: Thursday, Januar 11, 2018 11:45 AM

To: Paolo De-Leon ; Teresa Metallo

EFTA01398358

Cc: Keith Buckholz <
Subject: RE: New Derivatives account. [I]

These are different account numbers than were provided way below originally?

Kind regards,
Diana Canter
{https://brandportal.intranet.db.com/img/modules/-DAWM_logo_metallic_46x46.gif}
Diana Canter
Director | Supervisory Principals Group-Business Supervisory Office
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management
1 South Street, 21202-3298 Baltimore, MD, USA
Tel.:
Fax:
Email:

From: Paolo De-Leon Sent: Thursday, January 11, 2018 11:33 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I]

The account numbers are below:

EFTA01398359

Thanks ,
Paolo

From: Paolo De-Leon Sent: Thursday, January 11, 2018 10:13 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I]

Hello- please see below.

{cid:image004.png@01D38F83.357B30F0}

From: Teresa Metallo Sent: Thursday, January 11, 2018 10:04 AM To: Paolo De-Leon Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I]

Classification: For internal use only
Hi Paolo,

Can you provide the client’s account number

EFTA01398360

Teresa Metallo
Vice President
WM OPS
Regulatory - Risk & Control

60 Wall Street
New York, NY 10005
Tel # (-

From: Paolo De-Leon
Sent: Thursday, January 11, 2018 9:57 AM
To: Teresa Metallo <>
Cc: Diana Canter <>; Keith Buckholz <>
Subject: RE: New Derivatives account. [I]

Hello Teresa,

Can you kindly provide the below documents for Southern Financial LLC?

KYC Document

PCR Document

RDC Document

Thank you,

Paolo

EFTA01398361

{cid:image008.png@01D03F70.4C7A39B0}

Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas

Business Risk Management
345 Park Avenue - 14th Floor
New York, NY, USA 10154-0004
Tel.:
Email:

From: Diana Canter
Sent: Wednesday, January 10, 2018 1:39 PM
To: Keith Buckholz <
Cc: Paolo De-Leon
Subject: RE: New Derivatives account. [I]

Sure – let me know if u need more of if Teresa is not able to help you?

Kind regards,
Diana Canter

{https://brandportal.intranet.db.com/img/modules/-DAWM_logo_metallic_46x46.gif}

Diana Canter
Director I Supervisory Principals Group-Business Supervisory Office

Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management

EFTA01398362

Field	Value
Address line	1 South Street, 21202-3298 Baltimore, MD, USA
Tel.	[redacted — black bar in image]
Fax	[redacted — black bar in image]
Email	[redacted — black bar in image]

Email header context
From: Keith Buckholz
Sent: Tuesday, January 09, 2018 4:50 PM
To: Diana Canter
Cc: Paolo De-Leon
Subject: RE: New Derivatives account.

From: Keith Buckholz
Sent: Tuesday, January 09, 2018 4:50 PM
To: Diana Canter
Cc: Paolo De-Leon
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Thanks for the quick follow up. We will reach out to Teresa tomorrow afternoon if we don't hear back from her by then. Thanks again.

Regards,

Keith

From: Diana Canter
Sent: Tuesday, January 09, 2018 4:16 PM
To: Keith Buckholz <
Cc: Paolo De-Leon
Subject: RE: New Derivatives account. [I]

Hi Keith — I tried to call you but no voice mail J Gideon used to work for Teresa Metallo so I have reached out to her She is checking on this one

Just fyi — one of the accounts you listed far below has been closed on Pershing since 4/28/2014

EFTA01398363

Kind regards,
Diana Canter

{https://brandportal.intranet.db.com/img/modules/DAWM_logo_metallic_46x46.gif}

Diana Canter

Director I Supervisory Principals Group-Business Supervisory Office

Deutsche Bank Securities Inc.

Deutsche Bank Wealth Management

1 South Street, 21202-3298 Baltimore, MD, USA

Tel.
Fax
Email

From: Keith Buckholz
Sent: Tuesday, January 09, 2018 2:21 PM
To: Diana Canter
Cc: Paolo De-Leon
Subject: FW: New Derivatives account. [I]

Classification: For internal use only

Hi Diana,

We are looking for some KYC information on a client. Do you know who can provide us with this information? We are being told an LS2 facilty cannot be setup without these docs (which we need to set up an OTC collateral account). Apparently, Gideon Pinedo helped with this process in the past. Thanks.

EFTA01398364

KYC Document
PCR Document
RDC Document

Regards,
Keith

From: Funda Bozkurt
Sent: Tuesday, January 09, 2018 2:16 PM
To: Keith Buckholz <
Cc: Paolo De-Leon
Subject: RE: New Derivatives account. [I]

You can ask Zia Memon /Diana Canter. The team reports to him.

Funda Bozkurt

Deutsche Bank Trust Company Americas.
WM-Divisional Control Office

345 Park Avenue, 10154-0004 New York, NY, USA
Tel.
Email

From: Keith Buckholz
Sent: Tuesday, January 09, 2018 2:15 PM
To: Funda Bozkurt
Cc: Paolo De-Leon
Subject: FW: New Derivatives account. [I]
Importance: High

EFTA01398365

Classification: For internal use only

Hi Funda,

Do you know who owns or maintains KYC documentation (for WM accounts)? Thanks.

Regards,
Keith

From: Keith Buckholz
Sent: Friday, December 08, 2017 11:38 AM
To: Srikanta Gouda <>; Surendra Singh <>; Collateral Admin-NY <>
Cc: Nitin-X Singh <>; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>; Sendhil-kumar K <>; 'FX Middle Office' <fx-<>; Debra Jasper <>; Roxanne Scott <>; Halina Laczny <>; Hiren Mathur <>; CRM-PWM Derivatives <>; Enid Ellis <>; Collateral-Assets Newyork <collateral-<>

Subject: RE: New Derivatives account. [I]
Importance: High

Classification: For internal use only

Hi Srikanta,

Is there an escalation point for this issue? Going forward BRM will not be providing KYC documentation to have collateral accounts set up. Thanks.

EFTA01398366

Regards,

Keith

Keith Buckholz, CAIA

Director I Credit Risk Officer

Deutsche Bank Wealth Management

Business aligned Risk Management

345 Park Avenue, MS NYC20-1406

New York, NY 10154

Tel:

Mobile:

From: Keith Buckholz
Sent: Monday, November 20, 2017 2:01 PM
To: Srikanta Gouda <>; Surendra Singh <>; Collateral Admin-NY <>
Cc: Nitin-X Singh <>; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>; Sendhil-kumar K <>; FX Middle Office <fx-<>>; Debra Jasper <>; Roxanne Scott <>; Halina Laczny <>; Hiren Mathur <>; CRM-PWM Derivatives <>; Enid Ellis <>; Collateral-Assets Newyork <collateral-<>
Subject: RE: New Derivatives account. [I]

Srikanta,

EFTA01398367

I was asking if you knew someone (an actual person) who has provided your team with these docs in previous requests. I'll reach to that person for the documents your team requires. Thanks.

Keith

Sent with BlackBerry Work (www.blackberry.com)

From: Srikanta Gouda

Date: Monday, Nov 20, 2017, 1:43 PM

Key entities mentioned in the email:

Recipients (To): Surendra Singh, Keith Buckholz (Collateral Admin-NY)
Carbon Copy (Cc): Nitin-X Singh (Collateral Admin-NY), Sendhil-kumar K (FX Middle Office), Debra Jasper, Roxanne Scott, Halina Laczny (CRM-PWM Derivatives), Hiren Mathur, Enid Ellis (Collateral-Assets Newyork), CUSTOMERBUILD BLO

Subject: RE: New Derivatives account. [I]

Classification: For internal use only

As mentioned earlier...

"Please note — CRM or the requester used to provide the below requested

EFTA01398368

information to Customerbuild team whenever there is a necessity to onboard a new client"

Yes.. but not sure, whom do Requester or CRM reach out to get these documents. Thanks

Kind regards,
Srikanta Gouda

{cid:image005.png@01D05C2C.001ECF80}

Srikanta Gouda
Process Supervisor

DBOI Global Services Private Limited
Global Business Services
Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore,
India
Email

From: Surendra Singh
Sent: Tuesday, November 21, 2017 12:06 AM
To: Keith Buckholz <>; Srikanta Gouda <>; Collateral Admin-NY <>
Cc: Nitin-X Singh <>; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>
; Sendhil-kumar K <>; FX Middle Office <fx-<>>; Debra Jasper <>; Roxanne Scott <>
; Halina Laczny <>; FX Middle Office <>; Hiren Mathur <>
; CRM-PWM Derivatives <>; Enid Ellis <>; Collateral-Assets Newyork <collateral-<>
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Srikanta,

EFTA01398369

Please advise Keith on below mail.

Kind regards,
Surendra Singh

{Description: Description: cid:image001.png@01D05A73.A4EB0930}

Surendra Singh
Associate I COO Wealth Management Operations

DBOI Global Services Private Limited
A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India
Tel.:
Fax:
Mobile +91:
Email:

Go green. Consider the environment before printing this email.

From: Keith Buckholz
Sent: Monday, November 20, 2017 1:27 PM
To: Surendra Singh <>; Srikanta Gouda <>; Collateral Admin-NY <>
Cc: Nitin-X Singh <>; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>
; Sendhil-kumar K <>; FX Middle Office <fx-<>>
; Debra Jasper <>; Roxanne Scott <>; Halina Lacznzy <>; FX Middle
Office <>; Hiren Mathur <>
; CRM-PWM Derivatives <>; Enid Ellis <>; Collateral-Assets Newyork <collateral-<>
Subject: RE: New Derivatives account. [I]

EFTA01398370

Classification: For internal use only

Hi Surenda,

We do need this set up. I am trying to track down these documents, not sure who has them.

When the dummy account is set up in LS2, who normally provides these docs? Thanks.

Regards,

Keith

Key entities and details from the email:

From: Surendra Singh
Sent: Monday, November 20, 2017 1:09 PM
To: Srikanta Gouda, Keith Buckholz
Cc: Nitin-X Singh
Recipients: Collateral Admin-NY, CUSTOMERBUILD BLO, Sendhil-kumar K, FX Middle Office, Debra Jasper, Roxanne Scott, Halina Laczny, Hiren Mathur, Enid Ellis, CRM-PWM Derivatives, Collateral-Assets Newyork
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Hello Keith,

Please confirm if below request was completed or it is not needed to be set up anymore.

EFTA01398371

Kind regards,
Surendra Singh

{Description: Description: cid:image001.png@01D05A73.A4EB0930}

Surendra Singh
Associate I COO Wealth Management Operations

DBOI Global Services Private Limited
A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City
SEZ, 302029 Jaipur, India
Tel.
Fax
Mobile +91
Email

Go green. Consider the environment before printing this email.

From: Srikanta Gouda
Sent: Wednesday, November 15, 2017 7:46 AM
To: Surendra Singh <>; Keith Buckholz <>; Collateral Admin-NY <>
Cc: Nitin-X Singh <>; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>
; Sendhil-kumar K <>; FX Middle Office <fx-<>>; Debra Jasper <>; Roxanne Scott <>
; Halina Laczny <>; FX Middle Office <>; Hiren Mathur <>
; CRM-PWM Derivatives <>; Enid Ellis <>; Collateral-Assets Newyork <collateral-<>
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Hi Keith,

EFTA01398372

Generally we do not required the below information in order to setting up a New DDR account.( If the Client is already On boarded to LS2 ). However in this case, We do not see the client is onboard to LS2, in order to onboard the client, Customerbuild team would require the below information. Once the client is onboard, we will go head and create the collateral account.

Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client.

Please feel free to reach out to me if you have any question.

Kind regards,
Srikanta Gouda

{cid:image005.png@01D05C2C.001ECF80}

Srikanta Gouda
Process Supervisor

DBOI Global Services Private Limited
Global Business Services
Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore,
India
Email

From: Surendra Singh
Sent: Wednesday, November 15, 2017 1:43 AM
To: Keith Buckholz <>; Collateral Admin-NY <>
Cc: Srikanta Gouda <>; Nitin-X Singh nitin-x.singh@jpmorgan.com; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>; Sendhil-kumar K sendhil-kumar.k@jpmorgan.com; FX Middle Office <>; Debra Jasper <>; Roxanne Scott <>; Halina Laczny <>; FX Middle Office fx-middleoffice@jpmorgan.com; Hiren Mathur <>; CRM-PWM Derivatives <>; Enid Ellis <>; Collateral-Assets Newyork <>

EFTA01398373

Subject: RE: New Derivatives account. [I]
Classification: For internal use only
Hi Keith,
Collateral Team has asked for this information to proceed further.
@ Collateral Team,
Please assist Keith on below request.
Kind regards, Surendra Singh
{Description: Description: cid:image001.png@OlD05A73.A4EB0930}
Surendra Singh Associate I COO Wealth Management Operations
DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 Email

Go green. Consider the environment before printing this email.

EFTA01398374

From: Keith Buckholz
Sent: Tuesday, November 14, 2017 3:12 PM
To: Surendra Singh <>
Cc: Srikanta Gouda <>; Nitin-X Singh <nitin-
; Collateral Admin-NY <>
; CUSTOMERBUILD BLO <>; Sendhil-kumar K <sendhil-
; FX Middle Office <>; Debra
Jasper <>; Roxanne Scott <>; Halina
Laczny <>; FX Middle Office <fx-
; Hiren Mathur <>; CRM-PWM
Derivatives <>; Enid Ellis <>
; Collateral-Assets Newyork <>
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Hi Surendra,

Can you please let me know who is asking for this information? We have never provided this information in the past when setting up new DDR accounts. I also don't have access to the requested documents. Thanks.

Regards,
Keith

From: Surendra Singh
Sent: Tuesday, November 14, 2017 11:00 AM
To: Keith Buckholz <>
Cc: Srikanta Gouda <>; Surendra Singh <>; Nitin-X Singh <>; Collateral Admin-NY <>; CUSTOMERBUILD BLO <>; Surendra Singh <>; Sendhil-kumar K <>; FX Middle Office <fx-<>>; Debra Jasper <>; Roxanne Scott <>; Halina Laczny <>; FX Middle Office <>; Hiren Mathur <>; CRM-PWM Derivatives <>; Enid Ellis <>
Subject: FW: New Derivatives account. [I]

EFTA01398375

Classification: For internal use only

Hello Keith,

Relevant team is asking to provide below information to get this request processed further. Request you to provide the same.

SIC Code

NACE Code

KYC Document

PCR Document

RDC Document

Kind regards,
Surendra Singh

{Description: Description: cid:image001.png@01D05A73.A4EB0930}

Surendra Singh
Associate I COO Wealth Management Operations

DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jai ur, India Tel. Fax

EFTA01398376

Mobile +91
Email

Go green. Consider the environment before printing this email.

From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY
Sent: Tuesday, November 14, 2017 10:22 AM
To: Sachiva Gupta
Cc: Srikanta Gouda
; Surendra Singh ; Nitin-
X Singh ; Collateral Admin-NY <collateral.admin-

; CUSTOMERBUILD BLO ; Surendra Singh
; Sendhil-kumar K
Subject: RE: New Derivatives account. [I]

Classification: For internal use only

Hi Sachiva,

Please provide the below requested information to Customerbuild team in order to set up the customer in LS2.

SIC Code

NACE Code

KYC Document

PCR Document

RDC Document

EFTA01398377

@ Sendhil — Once you receive the required information, please set up a Guarantor profile in LS2.

Note — Once the Customer is set up and $1 Facility is created in LS2, we will link the collateral account to DDR.

Kind regards,
Abhijit Mukherjee

{cid:image008.png@01D03F70.4C7A39B0}

Abhijit Mukherjee

DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India

Voip
Mobile +91
Email

For Level 1 escalations lease contact Mohammed-B Hussain at email id :

For Level 2 escalations please contact Melvin V at email id : {cid:image009.png@OlD03F70.4C7A39B0}

From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Saturday, November 04, 2017 1:50 AM To: Sachiva Gupta Cc: Srikanta Gouda Nitin-X Singh ; Surendra Collateral Singh Admin-NY <collateral.admin- ; Subject: RE: New Derivatives account. [I]

Classification: For internal use only

EFTA01398378

Hi Sachiva,

We did not find the below customer built in LS2. Kindly reach out to Customer build team to get it built under guarantor profile.

Thanks.

Kind regards,
Abhijit Mukherjee

{cid:image008.png@01D03F70.4C7A39B0}

Abhijit Mukherjee

DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India

Voip Mobile +91 Email For Level 1 escalations please contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id :

From: Sachiva Gupta
Sent: Friday, November 03, 2017 10:22 PM
To: Collateral Admin-NY <>
Cc: Srikanta Gouda <>; Abhijit Mukherjee <>; <fx->; Surendra Singh <>; Nitin-X Singh <>
Subject: FW: New Derivatives account. [I]

EFTA01398379

Classification: For internal use only

Hi All,

Could you please add the below client to the DDR? Attached are the SACA and Pledge agreements. Please note there are two accounts for this client.

SOUTHERN FINANCIAL LLC

██████████

Kindly confirm once done.

Kind Regards,

{cid:image018.png@01D16466.59BF5C10}

Sachiva Gupta

Senior Analyst I Securities Operations - WM US

COO Wealth Management Operations
DBOI Global Services Private Limited
A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City
SEZ, 302029 Jai ur, India
Tel. Avaya- 3382671
Fax
Mobile +91
Email mailto:

Go green. Consider the environment before printing this email.

EFTA01398380

EFTA01398381