EFTA Document EFTA01355918

Surendra Singh Associate I COO Wealth Management Operations 06O1 Global Services Private Limited A-1 & A-2 Evolve - Mahindra Technology Park. Inside Mahindra World City - SEZ. 30cvdJaipur. India Tel. Fax Mobil Email Go green. Consider the environment before printing this email. From: Paolo De-Leon Sent: Thursday, January 18, 2018 10:32 AM >; Abhijit Mukherjee Cc: Keith Buckholz C ; Srikanta Gouda To: Surendra Singh Subject: RE: New Derivatives account. Ill Hi Abhijit and Surenda, 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 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041225 CONFIDENTIAL SDNY_GM_00187409 EFTA01355918