EFTA Document EFTA01409903

Subject: Re: **VERY URGENT***Re: FW: ***Southern Financial LLC*** EDI - 127608**sgr** [I] From: ODC-Equities Account-Maintenance <odc-equities.accountmaintenance@db.com> Date: Fri, 13 Feb 2015 13:08:11 -0500 To: Sowmya-D R Cc: GCO Account-0 Kumar Sambhav ODC-E uities Account-Maintenance Sa ar-A Valecha Classification: For internal use only Hi Sanjay, As discussed, We have updated the Domicile of the EDI #127608 to "Virgin Island British" Kindly confirm if any changes required. Regards, Client Static Group GTO Grou Inbox: Escalation Points: 1Smita Hegde (Lead) 2.Suhrid Pathrore (Mans er) Feedback / Escalations: Birender Singh Email- birender-thakur.singh@db.com PROT0 This email is sent to you by Tata Consultancy Services on behalf of Deutsche Bank. Diese email wurde Ihnen von Tata Consultancy Services im Auftrag der Deutschen Bank gesendet {Inactive hide details for Sowmya-D R---13/02/2015 20:19:32--- Classification: For internal use only Hi ODC, Please change the Do}Sowmya-D R---13/02/2015 20:19:32---Classification: For internal use only Hi ODC, Please change the Domicile of the fund with EDI #12760 From: Sowmya-D R/db/ To: Sa ar-A Valecha/db/ , ODC-Equities Account-Maintenance/db/- Cc: GCO Account-Openin•/db/ , Kumar Sambhav/db/- , Smita-K Hegde/ext/ Date: 13/02/2015 20:19 Subject: **VERY URGENT***Re: FW: ***Southern Financial LLC*** EDI - 127608**sgr** [I] Hi ODC, Please change the Domicile of the fund with EDI #127608 to "Virgin Island" as it reflects in DB CAR. Please find s/s below. PROT1 Kindly treat this as very URGENT issue as client needs the corrected doc in next 2 hours. {cid:image011.png@OlD04787.FE29E490} Thanks & Regards, Soumya D R Derivative Documentation DBOI Global Services Pvt Ltd, Alternative contact Anil-S Kumar Or Ambaji Mane For any escalation please contact : Ph: {Inactive hide details for Sagar-A Valecha---02/13/2015 08:16:37 PM--- Classification: For internal use only Hi ODC/Smita,}Sagar-A Valecha---02/13/2015 08:16:37 PM---Classification: For internal use only Hi ODC/Smita, From: Sagar-A Valecha/db/ To: ODC-E uities Account-Maintenance/db/ Cc: , Smita-K Hegde/ext/- Ja Li man/db/dbcom, Sowmya-D R/db/ , GCO Account-Opening/db/- , Kumar Sambhav/db/ , Nitesh Gupta/db/dbcom, Prabhuling-C Kottalagi/db/dbcom, Sagar-A Valecha/db/dbcom, Sanjay Mehta/db/- dbcom, Vahe Stepanian/db/dbcom Date: 02/13/2015 08:16 PM Subject: FW: ***Southern Financial LLC*** EDI - 127608**sgr** [I] PROT2 Hi ODC/Smita, Please do the needful in downstream system. Thanks From: Sowmya-D R Sent: 13 February 2015 20:11 To: Jay Lipman Cc: corporate chasing; GCO Account-Opening; Kumar Sambhav; Nitesh Gupta; Prabhuling-C Kottalagi; Sagar-A Valecha; Sanjay Mehta; Vahe Stepanian Subject: RE: ***Southern Financial LLC*** EDI - 127608**sgr** [I] Hi Sagar, Can the EDI be amended to reflect "Virgin Island" then? fcid:1 êBBF778DFC301638f9e8a93df9386909@db.coml Hi Jay, We cannot re-create the doc until our static is fixed. Soumya D R Phone: Email: Or Ambaji Mane For an escalation lease contact Ph: {Inactive hide details for Jay Lipman---02/13/2015 07:03:50 PM---Hi Sagar,}- Jay Lipman---02/13/2015 07:03:50 PM---Hi Sagar, fcid:image001.png@OlD047C9.EE2ADF101 From: {cid:image002.png@OlD047C9.EE2ADF10} Jay Lipman/db/ fcid:image001.png@OlD047C9.EE2ADF101 To: Sagar-A Valecha/db/dbcom, Sowmya-D R/db/ {cid:image001.png@OlD047C9.EE2ADF10} Cc: PROT3 corporate chasing/db/-, GCO Account-Opening/db/ Prabhulin -C Kottalagi/db/dbcom, Sanjay Mehta/db/dbcom, Kumar Sambhav/db/- , Vahe Stepanian/db/dbcom, Nitesh Gupta/db/dbcom {cid:image001.png@OlD047C9.EE2ADF10} Date: 02/13/2015 07:03 PM {cid:image001.png@OlD047C9.EE2ADF10} Subject: RE: ***Southern Financial LLC*** EDI - 127608**sgr** [I] Hi Sagar, Thank you for confirming. Sowmya, Please make the appropriate changes to the confirm so that this address is reflected on both page one and page two. Thank you. From: Sagar-A Valecha Sent: Friday, February 13, 2015 7:38 AM To: Jay Lipman; Sowmya-D R Cc: corporate chasing; GCO Account-Opening; Prabhuling-C Kottalagi; Sanjay Mehta; Kumar Sambhav; Vahe Stepanian; Nitesh Gupta Subject: RE: ***Southern Financial LLC*** EDI - 127608**sgr** [I] Hi Jay/Sowmya, After making a search with the entity name in db car we see the below address is reflecting as per the screen shot. Kindly advise. {cid:image011.png@OlD04767.FE29E490} Thanks From: Jay Lipman Sent: 13 February 2015 17:51 To: Sowmya-D R; Nitesh Gupta Cc: Sagar-A Valecha; corporate chasing; GCO Account-Opening; Prabhuling-C Kottalagi; Sanjay Mehta; Kumar Sambhav; Vahe Stepanian PROT4 Subject: RE: ***Southern Financial LLC*** EDI - 127608**sgr** Hi, I need a response here urgently. Please respond ASAP. From: Sowmya-D R Sent: Thursday, February 12, 2015 4:00 PM To: Nitesh Gupta Cc: Sagar-A Valecha; corporate chasing; GCO Account-Opening; Jay Lipman; Prabhuling-C Kottalagi; Sanjay Mehta; Kumar Sambhav Subject: Fw: ***Southern Financial LLC*** EDI - 127608**sgr** Classification: Public Hi Nitesh, Need your urgent attention on the below as client is expecting amended confirmation ASAP. Soumya D R Phone: Email: Or Ambaji Mane For any escalation please contact : Ph: Forwarded by Sowmya-D R/db/dbcom on 02/13/2015 02:29 AM {cid:image012.png@OlD04787.FE29E490} From: {cid:image013.png@OlD04787.FE29E490} Sowmya-D R/db/dbcom fcid:image012.png@OlD04787.FE29E4901 To: Sagar-A Valecha/db/ {cid:image012.png@OlD04787.FE29E490} Cc: Icid:image013.png@OlD04787.FE29E4901 corporate chasin /db/ , GCOAccount-Opear fcid:image012.png@OlD04787.FE29E4901 Date: 02/12/2015 10:39 PM fcid:image012.png@OlD04787.FE29E4901 Subject: Re: Fw: ***Southern Financial LLC*** EDI - 127608**sgr** PROT5 Classification: Public Hi Sagar, The fund is in question is - Southern Financial LLC - EDI # 127608 Let me know if you need further details on this. Soumya D R Phone: Email: Or Ambaji Mane For any escalation please contact : Ph: {Inactive hide details for Sagar-A Valecha---02/12/2015 10:36:01 PM--- Classification: Public Hi Sowmya,}Sagar-A Valecha---02/12/2015 10:36:01 PM--- Classification: Public Hi Sowmya, {cid:image012.png@OlD04787.FE29E490} From: {cid:image013.png@OlD047B7.FE29E490} Sagar-A Valecha/db/ {cid:image012.png@OlD04787.FE29E490} To: {cid:image013.pn @OlD047B7.FE29E490} Sowmya-D R/db/ fcid:image012.png@OlD04787.FE29E4901 Cc: GCO Account-Opening/db/ , corporate chasing/db/ , Jay Lipman/db/dbcom, Prabhuling-C Kottalagi/db/dbcom, Sanjay Mehta/db/dbcom {cid:image012.png@OlD04787.FE29E490} Date: 02/12/2015 10:36 PM {cid:image012.png@OlD04787.FE29E490} Subject: Fw: ***Southern Financial LLC*** EDI - 127608 [I]**sgr** PROT6 Classification: Public Hi Sowmya, After making a search in Delaware registry document we see the several entities. Kindly confirm with the correct or full name so that we can help you with the current address mentioned in the registry doc. {cid:image015.jpg@OlD04787.FE29E490} {cid:image016.jpg@OlD04787.FE29E490} Thanks Kind regards, Sagar-A Valecha fcid:image017.jpg@OlD04787.FE29E4901 Sagar-A Valecha DBOI Global Services Private Limited Global Business Services A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. +44(207)3383449 Mobile +91 9571605616 Email {cid:image018.jpg@OlD04787.FE29E490} Fw: ***Southern Financial LLC*** EDI - 127608 [I] Sowmya-D R to: PROT7 GCO Account-Opening 12/02/2015 01:08 Cc: jay.lipman, prabhuling-c.kottalagi, sanjay.mehta, corporate chasing Hi Team, Fund - Southern Financial LLC has been created with Wilmington, Delaware, USA Domicile. Can you please provide us the "Registry Address proof" which was used to map this fund to Wilmington, Delaware, USA Domicile? Soumya D R Phone: Email: Or Ambaji Mane For an escalation lease contact : Ph: Forwarded by Sowmya-D R/db/dbcom on 02/12/2015 01:04 AM From: Vahe Stepanian/db/ To: Jay Lipman/db/dbcom, Prabhuling-C Kottalagi/db/dbcom, Cc: corporate chasing/db/ , Sowmya-D R/db/ db/dbcom, Adrian De-Nicola/db/dbcom, Daniel Sabba/db/dbcom Date: 02/11/2015 11:40 PM Subject: RE: Need your assistance***Southern Financial LLC*** [I] , Sanjay Mehta/- PROT8 Prabhuling- when do you expect this to be done? From: Jay Lipman Sent: Wednesday, February 11, 2015 10:27 AM To: Prabhuling-C Kottalagi Cc: corporate chasing; Sowmya-D R; Sanjay Mehta; Adrian De-Nicola; Daniel Sabba; Vahe Stepanian Subject: RE: Need your assistance***Southern Financial LLC*** [I] Hi Prabhuling, Can you assist us in making the following changes to this confirm, as we noticed a few issues. Please remove the client's personal name "Jeff Epstein" in the To: Client line Name and address of Southern Financial should be consistent on both pages: o On page 1, the client name/address is Southern Financial LLC, Wilmington. On page 2, the name/address is Southern Financial LLC, 6100 Red Hook Quarter, ST Thomas, VI 00802 o Please ensure that the latter name/address is used: Southern Financial LLC, 6100 Red Hook Quarter, ST Thomas, VI 00802 Please reach out with any questions. Thank you. Jay Lipman Key Client Partners Deutsche Bank Securities Inc From: Prabhuling-C Kottalagi Sent: Monday, February 09, 2015 4:58 PM To: Vahe Stepanian; Daniel Sabba Cc: corporate chasing; Sowmya-D R; Sanjay Mehta; Adrian De-Nicola; Jay Lipman; Mark Whyman Hi Vahe/Daniel, Please find the attached confirmation. Note: Attached doc is password protected and the password is SFL987 Regards fcid:image017.jpg@OlD04787.FE29E4901 Prabhuling-C Kottalagi DBOI Global Services Private Limited Velankani Tech Park, Bangalore, India PROT9 Email For any escalation please contact below : First level escalation: Second level escalation : fcid:image019.jpg@OlD04767.FE29E4901 From: Mark Whyman Sent: Tuesday, February 10, 2015 3:22 AM To: Vahe Stepanian; Daniel Sabba Cc: corporate chasing; Sowmya-D R; Sanjay Mehta; Adrian De-Nicola; Prabhuling-C Kottalagi; Jay Lipman Prabhuling, Is it possible to send this to Vahe Stepanian, Daniel Sabba and Jay Lipman (all internal)? Thanks, Mark {cid:image017.jpg@OlD04767.FE29E490} Mark Whyman Vice President I Global Markets Deutsche Bank Securities, Inc. 60 Wall St, 4th Floor New York, NY, 10005 Icid:image020.jpg@OlD04767.FE29E4901 Disclaimer: https://ederivatives.db.com/static/disclaimer.html From: Vahe Stepanian Sent: Monday, February 09, 2015 4:49 PM To: Mark Whyman; Daniel Sabba Cc: corporate chasing; Sowmya-D R; Sanjay Mehta; Adrian De-Nicola; Prabhuling-C Kottalagi; Jay Lipman Hi Mark - if possible, please send us the TWTR confirms. Would be helpful if you could please include me, Daniel Sabba, and Jay Lipman (CC'ed). This is so that we can check the confirm for accuracy, and keep track of them. Cheers, Vahe From: Mark Whyman Sent: Monday, February 09, 2015 4:47 PM PROT10 To: Vahe Stepanian; Daniel Sabba Cc: corporate chasing; Sowmya-D R; Sanjay Mehta; Adrian De-Nicola; Prabhuling-C Kottalagi Daniel / Vahe, Can you confirm that the option confirmation for TWTR should be sent to 2 Thanks, Mark {cid:image017.jpg@OlD04767.FE29E490} Mark Whyman Vice President I Global Markets Deutsche Bank Securities, Inc. 60 Wall St, 4th Floor New York, NY, 10005 {cid:image021.jpg@OlD04767.FE29E490} Disclaimer: https://ederivatives.db.com/static/disclaimer.html From: Prabhuling-C Kottalagi Sent: Monday, February 09, 2015 4:07 PM To: Mark Whyman Cc: corporate chasing; Sowmya-D R; Sanjay Mehta; Adrian De-Nicola Subject: Need your assistance***Southern Financial LLC*** [I] Hi Mark, We have one outstanding deal with Southern Financial LLC traded on Jan 27,2015 with Twitter Inc as underl in . The client contact which is updated in the our system is which has gmail as its domain. Please advise ,can we dispatch the doc for countersign to above mentioned contact, else please share the client contact details. Please let me know if you need any additional information. Many thanks in advance. Counterparty Name Trade Id Product trade date underlyingDescription trader name Marketer Southern Financial LLC NY-NY-OC-618176-1-0-0 Generic OTC 27-Jan-15 PROT11 Twitter Inc Michael-C Krueger Mark Whyman NY NEW Regards fcid:image017.jpg@OlD04767.FE29E4901 Prabhuling-C Kottalagi DBOI Global Services Private Limited Velankani Tech Park, Bangalore, India Email For any escalation please contact below : First level escalation Second level escalation : {cid:image018.jpg@OlD04767.FE29E490} PROT12