EFTA01471512.pdf

Subject: Re: Fw: Part Two - Dodd Frank Initial Margin Segregation Rule Client Segregation Election Notice [C] From: Amanda Kirby < Date: Wed, 29 Oct 2014 17:05:57 -0400 To: DeAWM-WM DerivativeDocs Cc: DeAWM-WM DerivativeDocs Ian Hearn <[email protected]>, Paul Morris < Vahe Stepanian < Classification: Confidential Ian -- Not yet. I've reminded the client that we also need that. I'll forward once they send Best, Amanda Kirby (Embedded image moved to file: pic21208.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: pic12503.gif) Securities offered through Deutsche Bank Securities Inc. From: DeAWM-WM DerivativeDocs/db/- dbcom To: Amanda Kirby/db/- Cc: DeAWM-WM DerivativeDocs/db/ , Paul Morris/db/- , Vahe Stepanian/db/ EFTA01471512  Date: 10/29/2014 05:00 PM Subject: Re: Fw: Part Two - Dodd Frank Initial Margin Segregation Rule - Client Segregation Election Notice [C] Classification: Confidential Hi Amanda, thank you for the below. Can you advise if you also have the Responsible Office document signed for both clients as both forms are required to be compliant. thanks Kind Regards, DeAWM Derivative Documents Team From: Amanda Kirby/db/- dbcom To: Ian Hearn/db/- Cc: DeAWM-WM DerivativeDocs/db/ , Paul Morris/db/- , Vahe Stepanian/db/ Date: 10/29/2014 02:10 PM EFTA01471513  Subject: Fw: Part Two - Dodd Frank Initial Margin Segregation Rule - Client Segregation Election Notice [C] Classification: Confidential Ian, Please see attached from the client Best, Amanda Kirby (Embedded image moved to file: pic10100.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: pic24511.gif) Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby/db/dbcom on 10/29/2014 02:09 PM From: Darren Indyke •aa' To: Amanda Kirby/db/- Cc: Richard Kahn < IMM>, Paul Morris/db/- , Vahe Stepanian/db/- EFTA01471514  Date: 10/29/2014 01:39 PM Subject: Re: Part Two - Dodd Frank Initial Margin Segregation Rule - Client Segregation Election Notice [C] Please see attached the signed Election notices for both Southern Trust Company, Inc. and Southern Financial, LLC. Thank you. DARREN K. INDYKE DARREN K. INDYKE, PLLC 575 Lexington Avenue, 4th Floor New York, New York 10022 Telephone: (212) 971-1314 Telecopier: Mobile: email: [attachment "SHBRK Scann14102912160.pdf" deleted by Ian Hearn/db/dbcom] [attachment "SHBRK Scann14102912170.pdf" deleted by Ian Hearn/db/dbcom] ***************************************************************************** ***************** 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 21, 2014, at 3:20 PM, Amanda Kirby e > wrote: EFTA01471515  Classification: Confidential Darren/ Rich -- Part two. I am 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 as of May 5, 2014. For market participants that were existing counterparties on or prior to January 6, 2014, the compliance date is November 3, 2014. You have been identified as the Responsible Officer for your organization and are being asked to reply with your organization's election to require or not to require initial margin segregation in accordance with the CFTC Segregation Regime. To avoid potential trading disruptions, please complete the attached document entitled "IM Segregation Election Notice" and return it as soon as possible. For your reference, FAQs are also attached. If you have any questions do not hesitate to contact me. Thank you 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> EFTA01471516  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.<Approved IM Segregation FAQs WM.doc><Reviewed DBTCA Segregated Acct Fee Schedule.pdf><SF Approved IM Segregation Election Notice WM V2 revised 8.19.14.doc><ST Approved IM Segregation Election Notice WM V2 revised 8.19.14.doc> EFTA01471517