EFTA Document EFTA01355928

For Level 1 escalations please contact Mohammed-8 Hussa For Level 2 escalations please contact Melvin Vat email id : PetnitriA4rt Peefron. From: Paolo De-Leon Sent: Thursday, January 18, 2018 9:02 PM To: Surendra Singh < Cc: Keith Buckholz < Subject: RE: New Derivatives account. [I] Hi Abhijit and Surenda, >; Abhijit Mukherjee >; Srikanta Gouda 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 152, 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 154-0004 Tel. Erns From: Sachiva Gupta Sent: Wednesday, Janua 17, 2018 11:07 AM To: Paolo De-Leon < >; Abhijit Mukherjee < Cc: Keith Buckholz < Subject: RE: New Derivatives account. [Ij CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041242 CONFIDENTIAL SDNY_GM_00187426 EFTA01355928