EFTA01398548.pdf

Subject: RE: New Derivatives account. [I] From: Paolo De-Leon <a> Date: Wed, 07 Feb 2018 15:29:55 -0500 To: Teresa Metallo < Keith Buckholz < Cc: Jason Wang Dawn Forbes Teresa, Can you let us know who your points of contact are in AML/Onboarding? Thank you, Paolo From: Teresa Metallo Sent: Wednesday, February 07, 2018 12:26 PM To: Keith Buckholz Cc: Jason Wan ; Paolo De-Leon a; Dawn Forbes Subject: RE: New Derivatives account. [I] Classification: For internal use only Keith, After reviewing with the Offshore Team on the documentation and for accuracy on providing client information, I propose the AML/Onboarding Team provide the documents since they can provide for both Wealth Management and the Brokerage accounts. EFTA01398548 Let me know your thoughts Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # (- From: Keith Buckholz Sent: Wednesday, February 07, 2018 10:24 AM To: Teresa Metallo Cc: Jason Wang ; Paolo De-Leon Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Teresa, I think this is smoothest and least burdensome process on our two groups. We'll basically send an email to your team and collateral admin NY and all you have to do is add the KYC, PCR, and RDC docs. Regards, Keith EFTA01398549 From: Paolo De-Leon Sent: Wednesday, February 07, 2018 9:07 AM To: Teresa Metallo < Cc: Keith Buckholz < Jason Wang <a> Subject: RE: New Derivatives account. [I] Hello Teresa, Kindly just following up. Can you please confirm if you are in agreement with the below proposal as we have a couple of clients that we are eager to get set up on the DDR. Thanks, Paolo From: Paolo De-Leon Sent: Tuesday, February 06, 2018 5:22 PM To: Teresa Metallo Cc: Keith Buckholz ; Jason Wang a Subject: RE: New Derivatives account. [ Hi Teresa, Fortunate news- we here at risk have identified a process where we can provide the LS2 team the SIC Code and NACE code. However, we ask that your team help out by acting as the point of contact for retrieving the KYC, PCR and RDC documents. Are you in agreement with this proposal? EFTA01398550 Regards, Paolo From: Teresa Metallo Sent: Thursday, January 18, 2018 12:11 PM To: Paolo De-Leon >; Surendra Sin.h ; Abhijit Mukherjee ; Debra >; Halina Laczny < ; Srikanta Gouda Subject: RE: New Derivatives account. [I] Classification: For internal use only Paolo, I will set up a call with all to discuss how we can support these requests. Thanks, Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # ( EFTA01398551 From: Paolo De-Leon Sent: Thursday, Januar 18, 2018 11:07 AM To: Surendra Singh ; Abhijit Mukherjee ; Debra Jasper a; Halina Laczny < Cc: Keith Buckholz < ; Srikanta Gouda >; Teresa Metallo Subject: RE: New Derivatives account. [I] Adding Teresa to the thread. Teresa- it seems that Gideon Pinedo who I believe was previously on your direct team used to help out with retrieving the below information. Would you happen to have someone on your team that can help provide Surenda with the below information so that he can build the dummy bond in LS2 and so that ultimate we can add collateral into the daily derivative report, which is an important report that risk relies upon. Debbie and Halina- please let us know who the direct owners of the below information is (note that these are Wealth Management clients). SIC Code NACE Code KYC Document PCR Document RDC Document EFTA01398552 Thank you, Paolo {cid:[email protected]} Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Surendra Singh Sent: Thursday, Januar 18, 2018 10:56 AM To: Paolo De-Leon >; Abhijit Mukherjee •• Debra Jasper ffi ; Halina ; Srikanta Gouda > Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Paolo, I am not sure who should be the right contact to provide relevant information. I would assume that Gedeon Pinedo used to provided such information in past however he left the bank. EFTA01398553 @ Debbie/Halina, Would you please assist on below mail if you know the right contact to get in touch with? Kind regards, Surendra Singh {Description: Description: cid:[email protected]} 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: Paolo De-Leon Sent: Thursday, January 18, 2018 10:32 AM To: Surendra Singh ; Abhijit Mukherjee Cc: Keith Buckholz ; Srikanta Gouda Subject: RE: New Derivatives account. [I] EFTA01398554 Hi Abhijit and Surenda, 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 LS2, 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 fcid:[email protected] EFTA01398555 Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Sachiva Gupta Sent: Wednesday, Januar 17, 2018 11:07 AM To: Paolo De-Leon ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi, Please exclude my name from the mail. Kind Regards, {cid:[email protected]} Sachiva Gupta Senior Analyst I Securities Operations - WM US COO Wealth Management Operations EFTA01398556 DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jai ur, India Tel. Avaya- Fax Mobile Email mailto: Go green. Consider the environment before printing this email. From: Paolo De-Leon Sent: Wednesday, Januar 17, 2018 11:02 AM To: Sachiva Gupta ; Abhijit Mukherjee Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Hi Sachiva and Abhijit, Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 4:55 PM To: Sachiva Gupta ; Abhijit Mukherjee Cc: Keith Buckholz Subject: FW: New Derivatives account. [I] EFTA01398557 Hello Sachiva and Abhijit, Please see attached and please proceed with setting up the dummy facility in LS2 so that the collateral can be linked to the DDR. Thanks, Paolo fcid:[email protected] Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Diana Canter Sent: Thursday, January 11, 2018 4:36 PM To: Paolo De-Leon ; Teresa Metallo Cc: Keith Buckholz < Subject: RE: New Derivatives account. [I] Kind regards, EFTA01398558 Diana Canter fhttps://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gifl 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: Paolo De-Leon Sent: Thursday, January 11, 2018 11:55 AM To: Diana Canter ; Teresa Metallo Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Thanks, Please retrieve for these below accounts: SOUTHERN FINANCIAL LLC N4G025403 N4G026161 From: Diana Canter Sent: Thursday, January 11, 2018 11:45 AM EFTA01398559 To: Paolo De-Leon ; Teresa Metallo Cc: Keith Buckholz < Subject: RE: New Derivatives account. [I] These are different account numbers than were provided way below originally? Kind regards, Diana Canter fhttps://brandportal.intranet.db.com/img/modules/- DAWM_logo_metallic 46x46.gifl 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: Paolo De-Leon Sent: Thursday, January 11, 2018 11:33 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] The account numbers are below: EFTA01398560  N4G025098 N4G025114 Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January 11, 2018 10:13 AM To: Teresa Metallo Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Hello- please see below. fcid:[email protected] From: Teresa Metallo Sent: Thursday, January 11, 2018 10:04 AM To: Paolo De-Leon Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Paolo, Can you provide the client's account number EFTA01398561 Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # (- From: Paolo De-Leon Sent: Thursday, January 11, 2018 9:57 AM To: Teresa Metallo < Cc: Diana Canter ; Keith Buckholz Subject: RE: New Derivatives account. [I] Hello Teresa, Can you kindly provide the below documents for Southern Financial LLC? KYC Document PCR Document RDC Document Thank you, Paolo EFTA01398562 {cid:[email protected]} Paolo De Leon Assistant Vice President I Credit Risk Officer Deutsche Bank Trust Company Americas Business Risk Management 345 Park Avenue - 14th Floor New York, NY, USA 10154-0004 Tel. Email From: Diana Canter Sent: Wednesday, January 10, 2018 1:39 PM To: Keith Buckholz < Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Sure — let me know if u need more of if Teresa is not able to help you? D Kind regards, Diana Canter {https://brandportal.intranet.db.com/img/modules/- DAWN_logo_metallic 46x46.gif} Diana Canter Director I Supervisory Principals Group-Business Supervisory Office Deutsche Bank Securities Inc. EFTA01398563 Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email From: Keith Buckholz Sent: Tuesday, January , 2018 4:50 PM To: Diana Canter Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Classification: For internal use only Thanks for the quick follow up. We will reach out to Teresa tomorrow afternoon if we don't hear back from her by then. Thanks again. Regards, Keith From: Diana Canter Sent: Tuesday, January , 2018 4:16 PM To: Keith Buckholz Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] 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 EFTA01398564 D Kind regards, Diana Canter fhttps://brandportal.intranet.db.com/img/modules/- DAWN_logo_metallic 46x46.gifl 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, January 09, 2018 2:21 PM To: Diana Canter Cc: Paolo De-Leon 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. EFTA01398565 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 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] EFTA01398566 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 08, 2017 11:38 AM To: Srikanta Gouda ; SurerAraSirI t ; Collateral Admin-NY Cc: Nitin-X Sin ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar ; 'FX Middle Office' ; Debra Jasper ; Roxanne Scott ; Halina Laczny ; Hiren Mathur CRM-PWM Derivatives Enid Ellis ; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] 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. EFTA01398567 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 < ; Surendra Singh ; Collateral Admin-NY Cc: Nitin-X Singh >; Collateral Admin-NY CUSTOMERBUILD BLO Sendhil-kumar FX Middle Office ; Debra Jasper >; Roxanne Scott ; Halina Laczny ; Hiren Mathur CRM-PWM Derivatives ; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Srikanta, EFTA01398568 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'h , Collateral Admin-NY , CUSTOMERBUILD BLO Sendhil-kumar >, FX Middle Office >, Debra Jasper >, Roxanne Scott , Halina Laczny , Hiren Mathur CRM-PWM Derivatives , Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only As mentioned earlier... EFTA01398569 "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 fcid:[email protected] 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, 2017 12:06 AM To: Keith Buckholz >; Srikanta Gouda ; Collateral Admin-NY ‹ > Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K • ; FX Middle Office ; Debra Jasper ; Roxanne Scott ; Halina Laczny FX Middle Office ; Hiren Mathur CRM-PWM Derivatives •; Enid Ellis ; Collateral-Assets Newyork < M Subject: RE: New Derivatives account. [I] Classification: For internal use only Srikanta, EFTA01398570 Please advise Keith on below mail. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} 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 Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh ; Srikanta Gouda ; Collateral Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K < >; FX Middle Office ; Debra Jasper < ; Roxanne Scott >• Halina Laczny FX Middle Office ; Hiren Mathur CRM-PWM Derivatives < -; Enid Ellis Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] EFTA01398571 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 < ; Keith Buckholz ; Collateral Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY CUSTOMERBUILD BLO Sendhil-kumar K < FX Middle Office < >; Debra Jasper ; Roxanne Scott • Halina Laczny FX Middle Office < ; Hiren Mathu CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork < 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. EFTA01398572 Kind regards, Surendra Singh {Description: Description: cid:[email protected]} 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 ; Collateral Admin-NY ‹ > Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K • ; FX Middle Office ; Debra Jasper ; Roxanne Scott ; Halina Laczny FX Middle Office ; Hiren Mathur CRM-PWM Derivatives •; Enid Ellis >; Collateral-Assets Newyork < M Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, EFTA01398573 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:[email protected]} 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: Wednesday, November 15, 2017 1:43 AM To: Keith Buckholz < ; Collateral Admin-NY Cc: Srikanta Gouda < ; Nitin-X Singh In Collateral Admin-NY >; CUSTOMERBUILD BLO ; Sendhil-kumar K < ; FX Middle Office < ; Debra Jasper >; Roxanne Scott Halina Laczny >; FX Middle Office Hiren Mathur >; CRM-PWM Derivatives < >; Enid Ellis EFTA01398574 Collateral-Assets Newyork < => Subject: RE: New Derivatives account. [I] Classification: For internal use only 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:[email protected]} 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. EFTA01398575 From: Keith Buckholz Sent: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh < Cc: Srikanta Gouda < ; Nitin-X Singh Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K < ; FX Middle Office ; Debra Jasper < >; Roxanne Scott < ; Halina Laczny ; FX Middle Office Hiren Mathur CRM-PWM Derivatives >; Enid Ellis Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surendra, 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 From: Surendra Singh Sent: Tuesday, November 14, 2017 11:00 AM To: Keith Buckholz < Cc: Srikanta Gouda < ; Surendra Singh ; Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO Surendra Singh ; Sendhil- kumar K ; FX Middle Office >; Debra Jasper ; Roxanne Scott Halina Laczny ; FX Middle Office ; Hiren Mathur CRM-PWM Derivatives -; Enid Ellis Subject: FW: New Derivatives account. [I] EFTA01398576 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 Kind regards, Surendra Singh {Description: Description: cid:[email protected]} 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 Jai ur, India Tel. EFTA01398577 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 Sin ; Collateral Admin-NY ; 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. SIC Code NACE Code KYC Document PCR Document RDC Document EFTA01398578 @ 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 Icid:[email protected] 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 : Icid:[email protected] 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 Subject: RE: New Derivatives account. [I] EFTA01398579 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:[email protected] 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 : From: Sachiva Gupta Sent: Friday, November 03, 2017 10:22 PM To: Collateral Admin-NY Cc: Srikanta Gouda ; Abhijit Mukherjee ; Surendra Singh ; Nitin-X Singh Subject: FW: New Derivatives account. [I] EFTA01398580 Classification: For internal use only Hi All, 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, fcid:[email protected] Sachiva Gupta 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- Fax Mobile Email mailto: Go green. Consider the environment before printing this email. EFTA01398581 EFTA01398582