RE: New Derivatives account. [I]

S

To

Collateral Admin-NY

Cc

Srikanta GoudaAbhijit MukherjeeSurendra SinghNitin-X Singh

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
Email mailto:

Go green. Consider the environment before printing this email.

A

To

Sachiva Gupta

Cc

Srikanta GoudaNitin-X SinghSurendra SinghCollateral Admin-NY

Classification: For internal use only

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}

A

To

Sachiva Gupta

Cc

Srikanta GoudaSurendra SinghNitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar K

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

@ 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}

S

To

Keith Buckholz

Cc

Srikanta GoudaNitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyFX Middle OfficeHiren MathurEnid Ellis

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 | 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 +██████████
Email ████████████████

Go green. Consider the environment before printing this email.

K

To

Surendra Singh

Cc

Srikanta GoudaNitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyFX Middle OfficeHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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

S

To

Keith BuckholzCollateral Admin-NY

Cc

Srikanta GoudaNitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyFX Middle OfficeHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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@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 +█████████
Email ███████████████

Go green. Consider the environment before printing this email.

S

To

Surendra SinghKeith BuckholzCollateral Admin-NY

Cc

Nitin-X SinghSendhil-kumar KDebra JasperRoxanne ScottHalina LacznyHiren MathurEnid EllisCollateral Admin-NYCUSTOMERBUILD BLOFX Middle OfficeCRM-PWM DerivativesCollateral-Assets Newyork

Classification: For internal use only

Hi Keith,

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

S

To

Srikanta GoudaKeith BuckholzCollateral Admin-NY

Cc

Nitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyFX Middle OfficeHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

Classification: For internal use only

Hello Keith,

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

Kind regards,
Surendra Singh

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

Surendra Singh
Associate | 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.

K

To

Surendra SinghSrikanta GoudaCollateral Admin-NY

Cc

Nitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyFX Middle OfficeHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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

S

To

Keith BuckholzSrikanta GoudaCollateral Admin-NY

Cc

Nitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyFX Middle OfficeHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

Classification: For internal use only

Srikanta,

Please advise Keith on below mail.

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
Email

Go green. Consider the environment before printing this email.

S

To

Surendra SinghKeith Buckholz

Cc

Nitin-X SinghSendhil-kumar KDebra JasperRoxanne ScottHalina LacznyHiren MathurEnid EllisCollateral Admin-NYCUSTOMERBUILD BLOFX Middle OfficeCRM-PWM DerivativesCollateral-Assets Newyork

Classification: For internal use only

As mentioned earlier...

"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"

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

K

To

Srikanta GoudaSurendra SinghCollateral Admin-NY

Cc

Nitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

Srikanta,

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)

K

To

Srikanta GoudaSurendra SinghCollateral Admin-NY

Cc

Nitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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.

Regards,

Keith

Keith Buckholz, CAIA
Director | Credit Risk Officer

Deutsche Bank Wealth Management
Business aligned Risk Management

K

To

Funda Bozkurt

Cc

Paolo De-Leon

Importance: High

Classification: For internal use only
Hi Funda,

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

Regards,

Keith

Keith Buckholz, CAIA
Director | Credit Risk Officer

Deutsche Bank Wealth Management
Business aligned Risk Management

F

To

Keith Buckholz

Cc

Paolo De-Leon

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

K

To

Diana Canter

Cc

Paolo De-Leon

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.

KYC Document

PCR Document

RDC Document

Regards,

Keith

D

To

Keith Buckholz

Cc

Paolo De-Leon

Hi Keith — I tried to call you but no voice mail .7

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

D

Kind regards,
Diana Canter

K

To

Diana Canter

Cc

Paolo De-Leon

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

D

To

Keith Buckholz

Cc

Paolo De-Leon

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

D

Kind regards,
Diana Canter

P

To

Teresa Metallo

Cc

Diana CanterKeith Buckholz

Hello Teresa,

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

KYC Document

PCR Document

RDC Document

Thank you,

Paolo

T

To

Paolo De-Leon

Cc

Diana CanterKeith Buckholz

Classification: For internal use only

Hi Paolo,

Can you provide the client's account number

Teresa Metallo
Vice President
WM OPS
Regulatory - Risk & Control

60 Wall Street
New York, NY 10005
Tel #

P

To

Teresa Metallo

Cc

Diana CanterKeith Buckholz

Hello- please see below.

P

To

Teresa Metallo

Cc

Diana CanterKeith Buckholz

The account numbers are below:

Thanks,

Paolo

D

To

Paolo De-LeonTeresa Metallo

Cc

Keith Buckholz

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

Kind regards,

Diana Canter

P

To

Diana CanterTeresa Metallo

Cc

Keith Buckholz

Thanks,

Please retrieve for these below accounts:

SOUTHERN FINANCIAL LLC
█████████

D

To

Paolo De-LeonTeresa Metallo

Cc

Keith Buckholz

Kind regards,
Diana Canter

P

To

Sachiva GuptaAbhijit Mukherjee

Cc

Keith Buckholz

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

P

To

Sachiva GuptaAbhijit Mukherjee

Cc

Keith Buckholz

Hi Sachiva and Abhijit,

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

Thanks,

Paolo