EFTA01471520.pdf

Subject: Fw: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline Step 1 [C] From: Amanda Kirby Date: Thu, 30 Oct 2014 09:00:11 -0400 To: Ian Hearn <[email protected]> Cc: DeAWM-WM DerivativeDocs Paul Morris Vahe Stepanian Classification: Confidential Ian, Please see attached Best, Amanda Kirby (Embedded image moved to file: pic15401.gif) Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email (Embedded image moved to file: pic31667.gif) Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby on 10/30/2014 08:59 AM From: Darren Indyke <MMa• To: Amanda Kirbylill- Date: 10/29/2014 06:13 PM EFTA01471520  Subject: Re: Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] Please see attached. Thanks. DARREN K. INDYKE DARREN K. INDYKE, PLLC 575 Lexington Avenue, 4th Floor New York, New York 10022 Telephone: Telecopier: Mobile: email: (See attached file: Collateral Contact Documents for STC and SF LLCSHBRK Scann14102917400.pdf) ***************************************************************************** ***************** The information contained in this communication is confidential, may be attorney-client privileged, and is intended only for the use of the addressee. It is the property of Darren K. Indyke, PLLC Unauthorized use, disclosure or copying of this communication or any part thereof is strictly prohibited and may be unlawful. If you have received this communication in error, please notify us immediately by return e-mail, and destroy this communication and all copies thereof, including all attachments. Copyright of Darren K. Indyke, PLLC - 0 2014 Darren K. Indyke, PLLC — All rights reserved. ***************************************************************************** ****************** On Oct 29, 2014, at 5:04 PM, Amanda Kirby a wrote: Classification: Confidential EFTA01471521  Darren -- Compliance reminded me that we also need these forms for the Dodd Frank ruling. Please fill out/sign and return. Let me know if you have any questions Best, Amanda Kirby <Mail Attachment.gif> Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email <Mail Attachment.gif> Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby on 10/29/2014 05:02 PM From: Amanda Kirby To: Cc: Paul Morris , Vahe Stepanian Date: 10/21/2014 03:16 PM Subject Dodd Frank Initial Margin Segregation Rule Nov 3rd Deadline - Step 1 [C] EFTA01471522  Classification: Confidential Darren/Rich, Per our conversation please see the below. I will need one copy for Southern Trust and one for Southern Financial This is part one. I will be sending over part two shortly. We are reaching out to you in regards to CFTC's ruling on Segregated Initial Margin. In November 2013, the CFTC published its final requirements that all swap dealers and major swap participants must notify their clients of their right to require segregation of margin (other than variation margin) for uncleared swap transactions. The new regulation became effective on January 6, 2014 and requires all "new counterparties" of a swap dealer or major swap participant as of this date to comply with the regulation by May 5, 2014. For market participants that we're existing counterparties on or prior to January 6th, 2014, the compliance date is November 3, 2014. In order to provide the delivery of notices to the required personnel, as defined by the CFTC Regulation, and to avoid potential trading disruptions, please provide your Responsible Officer information by completing the attached template as soon as possible and returning it to your sales representative. If you are not the correct contact for this email, kindly forward to the appropriate contact at your organization. If you have any questions, please feel free to contact me. Best, Amanda Kirby <Mail Attachment.gif> Amanda Kirby Deutsche Bank Trust Company Americas EFTA01471523  Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email <Mail Attachment.gif> Securities offered through Deutsche Bank Securities Inc. This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such.<SF Approved IA Seg Advisory (DB) WM Americas 4.8.14 revised 8 19.14.doc><ST Approved IA Seg Advisory (DB) WM Americas 4.8.14 revised 8.19.14.doc> EFTA01471524