RE: New Derivatives account. [I]

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

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Kindly confirm once done.

Kind Regards,

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:

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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

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 +
Email

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

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

Abhijit Mukherjee
DB0I Global Services Private Limited
Global Business Services
Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100
Bangalore, India
Voip:
Mobile +:
Email:
For Level 1 escalations please contact Mohammed-B Hussain at email id :

For Level 2 escalations please contact Melvin V at email id :

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

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

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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

Hi Keith,

Collateral Team has asked for this information to proceed further.

@ Collateral Team,

Please assist Keith on below request.

Kind regards,
Surendra Singh

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

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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

Srikanta Gouda
Process Supervisor

DBOI Global Services Private Limited

Hello Keith,

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

Kind regards,
Surendra Singh

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 ████████████████

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Srikanta,

Please advise Keith on below mail.

Kind regards,
Surendra Singh

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

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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

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

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

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

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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 I Credit Risk Officer

Deutsche Bank Wealth Management

Business aligned Risk Management

345 Park Avenue, MS NYC20-1406

New York, NY 10154

Tel:

Mobile:

EFTA01398420

Hi Funda,

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

Regards,
Keith

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

EFTA01398418

Funda Bozkurt

Deutsche Bank Trust Company Americas.
WM-Divisional Control Office

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

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

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

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

EFTA01398417

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

EFTA01398416

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

EFTA01398415

D

Kind regards,
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

Paolo,

Do you mind running with this tomorrow? We need to check with Teresa Metallo whether she (or her team) supplied the docs required from the LS2 team in order to open the LS2 facility. If she did not, then see if she knows who can provide that information. Thanks.

Regards,
Keith

Of course, sounds good and will do!