RE: New Derivatives account.

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To

Collateral Admin-NY

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Srikanta GoudaAbhijit MukherjeeSurendra SinghNitin-X Singh

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
███████████

EFTA01398546

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 Jaipur, India

Go green. Consider the environment before printing this email.

A

To

Sachiva Gupta

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Srikanta GoudaSurendra SinghNitin-X SinghCollateral Admin-NY

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

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

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Sachiva Gupta

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Srikanta GoudaSurendra SinghNitin-X SinghCollateral Admin-NYCUSTOMERBUILD BLOSurendra SinghSendhil-kumar K

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}

Abhijit Mukherjee

EFTA01398544

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

S

To

Keith Buckholz

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Srikanta GoudaNitin-X SinghCollateralCUSTOMERBUILD BLOSurendra SinghSendhil-kumar KFX Middle OfficeRoxanne ScottDebra JasperHalina LacznvFX MiddleHiren MathurEnid EllisCRM-PWM Derivatives

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

EFTA01398542

KYC Document

PCR Document

RDC Document

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
████████████████████████████████
████████████████████████████████
████████████████████████████████
████████████████████████████████

Go green. Consider the environment before printing this email.

K

To

Surendra Singh

Cc

Srikanta GoudaCollateral Admin-NYCUSTOMERBULD BLOFX Middle OfficeJasperRoxanne ScottHalinaLacznyFX Middle OfficeHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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

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Srikanta GoudaNitin-X SinghCUSTOMERRBUTLD BL0Sendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyHiren MathurEnid EllisCRM-PWM DerivativesCollateral-Assets Newyork

Hi Keith,

Collateral Team has asked for this information to proceed further.

@ Collateral Team,

EFTA01398540

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
██████████████████████████████

Go green. Consider the environment before printing this email.

S

To

Surendra SinghKeith BuckholzCollateral Admin-NY

Cc

Nitin-X SinghCUSTOMERBUILD BLOFX Middle OfficeSendhil-Kumar KDebra JasperRoxanne ScottHalina LacznvHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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.

EFTA01398539

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

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To

Srikanta GoudaKeith BuckholzCollateral Admin-NYCUSTOMERBUTLD BLOFX Middle OfficeSendhil-kumar KDebra JasperRoxanne ScottHalina LacznyHiren MathurCRM-PWM DerivativesEnid EllisCollateral-Assets Newyork

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

EFTA01398538

Go green. Consider the environment before printing this email.

K

To

Surendra SinghSrikanta GoudaCollateral Admin-NYCUSTOMERBUILD BLOFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyHiren MathurEnid EllisCRM-PWM DerivativesCollateral-Assets Newyork

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

EFTA01398537

K

To

Srikanta GoudaSurendra SinghCollateral Admin-NYCUSTOMERBUILD BLOFX 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
From: Srikanta Gouda <>

EFTA01398534

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

S

To

Keith BuckholzSrikanta GoudaCollateral Admin-NY

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Nitin-X SinghCUSTOMERBUILD BLOSendhil-kumar KFX Middle OfficeDebra JasperRoxanne ScottHalina LacznyHiren MathurEnid EllisCRM-PWM DerivativesCollateral-Assets Newyork

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

EFTA01398536

A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India
████████████████████

Go green. Consider the environment before printing this email.

K

To

Srikanta Gouda

Cc

Nitin-X SinghSendhil-kumar K

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

345 Park Avenue, MS NYC20-1406

EFTA01398533

New York, NY 10154

K

To

Funda Bozkurt

Cc

Paolo De-Leon

Hi Funda,

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

Regards,
Keith

EFTA01398532

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

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To

Diana Canter

Cc

Paolo De-Leon

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

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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

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

Diana Canter Director I Supervisory Principals Group-Business Supervisory Office

EFTA01398530

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

K

To

Diana Canter

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Paolo De-Leon

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

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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

{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

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

{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