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sd-10-EFTA01362766Dept. of JusticeOther

EFTA Document EFTA01362766

On Mar 5, 2018, at 15:09, Martin Zeman < > wrote: Classification: For Internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman < Avila < Cc: Alastair Mackinla Mathew Negus < Subject: RE: SF [II >; Zack Bunimovich < >; Rita Shteynber >; Jitan Patel < Davide-A Sferr

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Dept. of Justice
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sd-10-EFTA01362766
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On Mar 5, 2018, at 15:09, Martin Zeman < > wrote: Classification: For Internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman < Avila < Cc: Alastair Mackinla Mathew Negus < Subject: RE: SF [II >; Zack Bunimovich < >; Rita Shteynber >; Jitan Patel < Davide-A Sferr

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On Mar 5, 2018, at 15:09, Martin Zeman < > wrote: Classification: For Internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman < Avila < Cc: Alastair Mackinla Mathew Negus < Subject: RE: SF [II >; Zack Bunimovich < >; Rita Shteynber >; Jitan Patel < Davide-A Sferrazza >; Xavier ; Mathew Negus Classification: For Internal use only Martin- Please confirm we don't need SF to be extended tor anything else besides credit derivatives and the products already onboarded. Thank you Nina Tone From: Zack Bunimovich Sent: Monday, March OS 2018 12:58 PM To: Xavier Avil Rita Shte nber Mathew Negus • Jitan Patel Cc: Alastair Mackinla < >; Martin Zeman >; Davide- A Sferrazza < >; Mathew Negus < ; Nina Tona Subject: RE: SF [I] Classification: For Internal use only Hi Xavier, Nothing else is needed from your end at the moment. I will send this request to the KYC team for review and then setup. Can you confirm Credit Derivatives is the only necessary extension? I know Convertible Bonds were also in the discussion. I see the BR 1007494283 set up for a decent amount of products already. See below. <image001.jpg> Thanks, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052373 CONFIDENTIAL SDNY_GM_00198557 EFTA01362766

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Related Documents (6)

Dept. of JusticeOtherUnknown

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Liam Sent with BlackBerry Work (www.blackberrv.com) From: Zack Bunimovich 1~IIM> Date: Friday, Mar 30.2018 9:13 AM To: Nina Tona , Xavier Avila Martin Zeman Rita Shteynberg crrazza Anthony Lentini Cc: Liam Osullivan Mathew Negus >, Alastair Mackinlay Subject: RE: Southern Financial LLC - KYC and credit derivatives/convertible bonds onboarding [C] [I] Era Classification: For Internal use only Hi Nina, Can you clarify the relationship between Richard Kahn at HBRK Associated and S

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To: Xavier Avila <xavier.avilaacjb.com>; Rita Shte nber <rita.shte nber db.com>. Jitan Patel Mathew Negus < >; GM ACO Cc: Nina Tona < >; Davide-A Sferrazza >; Alastair Mackinla <alastair.mackinla db.com>; Martin Zeman Subject: RE: SF [I] Gm ACO — can you liaise with central merc and establish the CIB colour on the rhp below? thx From: Xavier Avila Sent: 01 March 2018 16:08 To: lain Macara • >; Rita Shte nber: < >; Jitan Patel >; Mathew Negus >; Alastair Mackinla >; Martin Zeman

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EFTA Document EFTA01362524

To: Xavier Avila Cc: Alastai A Sferrazz Subject: RE: SF [I] ; Mathew Ne us Jitan Patel Marti < >; Davide- m>; Mathew Negus Nina Tona Including Zack who will be the case manager on this. From: Xavier Avila Sent: Monday, Ma To: Rita Shte nber Cc: Alastair Mackinla A Sferrazza Subject: RE: SF [I] ; Mathew Negus < >; Jitan Patel Martin Zeman >; Mathew Negus ; Davide- ; Nina Tona Hi Rita/Mat, let us know what we need to extend SF to Credit Derivatives as the client is still live

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There is an agreement with GM and KCP where WM can be an ACO in GM account. titan is aware of this agreement and this account is agreed to be green from a WM perspective and Aziz Anwar has approved the list. Nina Tona ASSOClate Business Control Manager, Key Client Partners - Americas Deutsche Bank Wealth Management KCP products and services ore intended and available only for persons who oresophisticated institutional investors within the meaning of the FINRA Rule 4514[1(3), and who are c

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a. KCP clients had migrated from dbCLIENT to dbCAR, potentially the migration did not complete correctly (this will continue to be investigated SEPERATELY to this Extension request) b. At the very first adoption of the client/extension to UK GM products, this was not correctly booked within our internal systems iv. Fixes to the dbCAR profile were discussed between Global CDS teams, of which the latter was chosen due to time constraints and the impact upon our first line colleagues; a.

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