EFTA Document EFTA01398437

Subject: RE: New Derivatives account. [I] From: Diana Canter < II> Date: Tue, 09 Jan 2018 16:15:49 -0500 To: Keith Buckholz > Cc: Paolo De-Leon 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 {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 Tel. Fax Email From: Keith Buckholz Sent: Tuesday, Januar 09, 2018 2:21 PM To: Diana Canter Cc: Paolo De-Leon EFTA01398437 Subject: FW: New Derivatives account. [I] Classification: For internal use only 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 From: Funda Bozkurt Sent: Tuesday, January 09, 2018 2:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] You can ask Zia Memon /Diana Canter. The team reports to him. Funda Bozkurt EFTA01398438 Deutsche Bank Trust Company Americas. WM-Divisional Control Office 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Email From: Keith Buckholz Sent: Tuesday, January 09, 2018 2:15 PM To: Funda Bozkurt Cc: Paolo De-Leon Subject: FW: New Derivatives account. [I] Importance: High Classification: For internal use only Hi Funda, Do you know who owns or maintains KYC documentation (for WM accounts)? Thanks. Regards, Keith From: Keith Buckholz Sent: Friday, December To: Srikanta Gouda Cc: Nitin-X Sin 'h Sendhil-kumar K Enid Ellis ; Debra Jasper < ; Halina Laczny ; CRM-PWM Derivatives ; Collateral-Assets Newyork 08, 2017 11:38 AM SurendraSin t ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO 'FX Middle Office' <fx- ; Roxanne Scott ; Hiren Mathur Subject: RE: New Derivatives account. [I] EFTA01398439 Importance: High Classification: For internal use only 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 Tel: Mobile: From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda ; Collateral Admin-NY ; S i clraSir l curen EFTA01398440 Cc: Nitin-X Sin .h Sendhil-kumar Enid Ellis ; Debra Jasper < ; Halina Laczny CRM-PWM Derivatives ; Collateral-Assets Newyork > Subject: RE: New Derivatives account. [I] Srikanta, ; Collateral Admin-NY CUSTOMERBUILD BLO ; FX Middle Office <fx- ; Roxanne Scott ; Hiren Mathur 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 (www.blackberry.com) From: Srikanta Gouda ‹ > Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h , Keith Buckholz , Collateral Admin-NY Cc: Nitin-X Sin Sendhil-kumar , Debra Jasper , Halina Laczny , CRM-PWM Derivatives , Collateral Admin-NY , CUSTOMERBUILD BLO , FX Middle Office <fx- , Roxanne Scott Hiren Mathur EFTA01398441 Enid Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only 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 {cid:image005.png@OlD05C2C.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 From: Surendra Singh Sent: Tuesday, November 21, To: Keith Buckholz Cc: Nitin-X Sin oh 2017 12:06 AM ; Srikanta Gouda Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO EFTA01398442 Sendhil-kumar K Office CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Debra Jasper Haling Laczny ; Hiren Mathur Classification: For internal use only Srikanta, Please advise Keith on below mail. Kind regards, Surendra Singh ; FX Middle Office <fx- ; Roxanne Scott FX Middle {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 Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz EFTA01398443 Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh Cc: Nitin-X Singh Sendhil-kumar K ; Srikanta Gouda ; Collateral Admin-NY Collateral Admin-NY ; CUSTOMERBUILD BLO <I >; ; FX Middle Office <fx- ; Roxanne Scott FX Middle >; Debra Jasper Halina Laczny Office • >; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] Classification: For internal use only 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 From: Surendra Singh Sent: Monday, November 20, 2017 1:09 PM To: Srikanta Gouda Cc: Nitin-X Singh Sendhil-kumar K ; Debra Jasper < ; Halina Laczny Office < ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis <I >; Collateral-Assets Newyork ; Keith Buckholz ; Collateral Admin-NY <I M> ; Collateral Admin-NY ; CUSTOMERBUILD BLO < =.; FX Middle Office <fx- ›; Roxanne Scott ; FX Middle EFTA01398444 Subject: RE: New Derivatives account. [I] Classification: For internal use only 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@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 Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Singh ; Keith Buckholz Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO EFTA01398445 Sendhil-kumar K Office CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Debra Jasper Halina Laczny ; Hiren Mathur Classification: For internal use only Hi Keith, ; FX Middle Office <fx- ; Roxanne Scott FX Middle 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 {cid:image005.png@OlD05C2C.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 EFTA01398446 From: Surendra Singh Sent: Wednesday, November 15, 2017 1:43 AM To: Keith Buckholz Cc: Srikanta Gouda n Collateral Admin-NY CUSTOMERBUILD BLO ; FX Middle Office Jasper < ; Roxanne Scott < Laczn < FX Middle Office <fx- ; Hiren Mathur Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only ; Collateral Admin-NY ; Nitin-X Singh ; Sendhil-kumar K < ; Debra ; Halina Hi Keith, Collateral Team has asked for this information to proceed further. @ Collateral Team, Please assist Keith on below request. Kind regards, Surendra Singh {Description: Description: cid:image001.png@OlD05A73.A4EB0930} Surendra Singh Associate I COO Wealth Management Operations EFTA01398447 DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh Cc: Srikanta Gouda n Collateral Admin-NY CUSTOMERBUILD BLO Jasper < Laczn Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Nitin-X Singh Sendhil-kumar K < FX Middle Office ; Roxanne Scott < ; FX Middle Office <fx- ; Hiren Mathur Enid Ellis < Classification: For internal use only Hi Surendra, Debra Halina CRM-PWM 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 EFTA01398448 From: Surendra Singh Sent: Tuesday, November 14, 2017 11:00 AM To: Keith Buckholz < Cc: Srikanta Gouda < ; Surendra Sin h ; Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Surendra Singh < >; Sendhil- kumar K ; FX Middle Office <fx- ; Debra Jasper ; Roxanne Scott Halina Laczny FX Middle Office ; Hiren Mathur CRM-PWM Derivatives -; Enid Ellis <E ,t• Subject: FW: New Derivatives account. [I] Classification: For internal use only 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 EFTA01398449 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 Tel. Fax Mobile Email Go green. Consider the environment before printing this email. From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Tuesday, November 14, 2017 10:22 AM To: Sachiva Gupta Cc: Srikanta Gouda ; Surendra Singh ; Nitin- X Singh ; Collateral Admin-NY <collateral.admin- ny@db.com>; CUSTOMERBUILD BLO ; Surendra Singh ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, Please provide the below requested information to Customerbuild team in order to set up the customer in LS2. EFTA01398450 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 fcid:image008.png@OlD03F70.4C7A39801 Abhijit Mukherjee DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip Mobile Email For Level 1 escalations lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : {cid:image009.png@OlD03F70.4C7A39B0} EFTA01398451 From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Saturday, November 04, 2017 1:50 AM To: Sachiva Gupta Cc: Srikanta Gouda ; Surendra Singh Nitin X Singh ; Collateral Admin-NY <collateral.admin- ny@db.com> Subject: RE: New Derivatives account. [I] Classification: For internal use only 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 fcid:image008.png@OlD03F70.4C7A39B01 Abhijit Mukherjee DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip Mobile Email For Level 1 escalations please contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : EFTA01398452 From: Sachiva Gupta Sent: Friday, November 03, 2017 10:22 PM To: Collateral Admin-NY Cc: Srikanta Gouda ; Surendra Singh Singh Subject: FW: New Derivatives account. [I] Classification: For internal use only Hi All, Abhi'it Mukherjee <fx- ; Nitin-X 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, {cid:image018.png@01D16466.59BF5C10} Sachiva Gupta EFTA01398453 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 Tel. Avaya- 3382671 Fax Mobile Email mailto: Go green. Consider the environment before printing this email. EFTA01398454