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

N4G025403

N4G026161

Kindly confirm once done.

Kind Regards,

Sachiva Gupta

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 Jaipur, India

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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

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

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

For Level 1 escalations lease 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

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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 | 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

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

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 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

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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

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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Srikanta,

Please advise Keith on below mail.

Kind regards,
Surendra Singh

Surendra Singh
Associate I COO Wealth Management Operations

DB0I Global Services Private Limited
A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India

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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

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.

Funda Bozkurt

Deutsche Bank Trust Company Americas.
WM-Divisional Control Office

345 Park Avenue, 10154-0004 New York, NY, USA

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 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

D

Kind regards,
Diana Canter

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