EFTA01398599.pdf

Subject: RE: New Derivatives account. [I] From: Sachiva Gupta <a Date: Wed, 17 Jan 2018 11:06:32 -0500 To: Paolo De-Leon <la, Abhijit Mukherjee Cc: Keith Buckholz 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 DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. +1(212)250-2961 Avaya- 3382671 Fax +1(212)872-9711 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 Gu to < ; Abhijit Mukherjee > Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] EFTA01398599 Hi Sachiva and Abhijit, Kindly just following up please. Can you please provide an update. Thanks, Paolo From: Paolo De-Leon Sent: Thursday, January To: Sad i ta >; Abhijit Mukherjee Cc: Keith Buckholz Subject: FW: New Derivatives account. [I] 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] EFTA01398600 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. +1(212) 454-1162 Email From: Diana Canter Sent: Thursday, Januar 11 2018 4:36 PM ; Teresa Metallo Cc: Keith Buckholz <[IMMEMINIMII > Subject: RE: New Derivatives account. [I] 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. +1 410 895-5858 Email Fax From: Paolo De-Leon EFTA01398601 Sent: Thursday, January 11, 2018 11:55 AM To: Diana Canter a; Teresa Metallo < > Cc: Keith Buckholz Subject: RE: New Derivatives account. [I] Thanks, Please retrieve for these below accounts: SOUTHERN FINANCIAL LLC From: Diana Canter Sent: Thursday, Januar 11 2018 11:45 AM To: Paolo De-Leon ; Teresa Metallo Cc: Keith Buckholz <E > Subject: RE: New Derivatives account. [I] These are different account numbers than were provided way below originally? Kind regards, Diana Canter EFTA01398602 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. +1 410 895-5858 Fax +1 410 970-6605 Email From: Paolo De-Leon Sent: Thursday, Janu To: Teresa Metallo > Cc: Diana Canter ; Keith Buckholz > Subject: RE: New Derivatives account. [I] The account numbers are below: 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] EFTA01398603 Hello- please see below. fcid:[email protected] From: Teresa Metallo Sent: Thursday, Januar 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 Teresa Metallo Vice President WM OPS Regulatory - Risk & Control 60 Wall Street New York, NY 10005 Tel # (201-593-4408) From: Paolo De-Leon Sent: Thursday, Januar 11 2018 9:57 AM To: Teresa Metallo < Cc: Diana Canter ; Keith Buckholz EFTA01398604 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 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. +1(212) 454-1162 Email From: Diana Canter Sent: Wednesday, Ja To: Keith Buckholz Cc: Paolo De-Leon EFTA01398605 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. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. +1 410 895-5858 Fax +1 410 970-6605 Email From: Keith Buckholz Sent: Tuesday, Januar 09, 2018 4:50 PM To: Diana Canter Cc: Paolo De-Leon Subject: RE: New Derivatives account. [I] Classification: For internal use only EFTA01398606 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 09, 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 .7 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 fhttps://brandportal.intranet.db.com/img/modules/- DAWN_logo_metallic 46x46.gifl Diana Canter Director I Supervisory Principals Group-Business Supervisory Office EFTA01398607 Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. +1 410 895-5858 Fax +1 410 970-6605 Email From: Keith Buckholz Sent: Tuesday, Ja 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. Thanks. KYC Document PCR Document RDC Document Regards, Keith From: Funda Bozkurt Sent: Tuesday, Januar 09, 2018 2:16 PM To: Keith Buckholz Cc: Paolo De-Leon EFTA01398608 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. +1(212)250-2415 Email From: Keith Buckholz Sent: Tuesday, Januar 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 EFTA01398609 From: Keith Buckholz Sent: Friday, December 08 2017 11:38 AM To: Srikanta Gouda ; Surendra Singh ›; Collateral Admin-NY Cc: Nitin-X Singh < >; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K 'FX Middle Office' <fx- Debra Jasper ; Roxanne Scott >; Halina Laczny ; Hiren Mathur CRM-PWM Derivatives < >; Enid Ellis < IIIMI>; Collateral-Assets Newyork cc 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. Regards, Keith Keith Buckholz, CAIA Director I Credit Risk Officer Deutsche Bank Wealth Management Business aligned Risk Management 345 Park Avenue, MS NYC20-1406 EFTA01398610 New York, NY 10154 Tel: +1 212 250-3465 Mobile: +1 From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda ca>; Surendra Singh >; Collateral Admin-NY < Cc: Nitin-X Sin h <a; Collateral Admin-NY < ; CUSTOMERBUILD BLO Sendhil-kumar K <a; FX Middle Office <fx- >; Debra Jasper ca>; Roxanne Scott >; Halina Laczny Hiren Mathur CRM-PWM Derivatives Enid Ellis -re>; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] Srikanta, 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 < > EFTA01398611 Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h < , Keith Buckholz , Collateral Admin-NY < Cc: Nitin-X Sin h na, Collateral Admin-NY >, CUSTOMERBUILD BLO Sendhil-kumar K >, FX Middle Office <fx- >, Debra Jasper , Roxanne Scott >, Halina Laczny , Hiren Mathur CRM-PWM Derivatives <= >, Enid Ellis Mia, Collateral-Assets Newyork cc 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 fcid:[email protected] Srikanta Gouda Process Supervisor DBOI Global Services Private Limited EFTA01398612 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 < M>; Collateral Admin-NY Cc: Nitin-X Sin h SaS; Collateral Admin-NY >; CUSTOMERBUILD BLO < Sendhil-kumar K FX Middle Office <fx- MI :>; Debra Jaspera.; Roxanne Scott Halina Laczny ; FX Middle Office < ia>; Hiren Mathur CRM-PWM Derivatives < >; Enid Ellis <MIIMIMIS; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Srikanta, 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 - EFTA01398613 SEZ, 302029 Jaipur, India Tel. +1(212)469-3280 Fax (201)575-4694 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 <MIIMMIIIMINfl; Collateral Admin-NY < EM> Cc: Nitin-X Singh n; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K ; FX Middle Office <fx- ; Debra Jasper ; Roxanne Scott < MMa>: Halina Laczny ; FX Middle Office Hiren Mathur CRM-PWM Derivatives <a 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 EFTA01398614 From: Surendra Singh Sent: Monday, November 20, 2017 1:09 PM To: Srikanta Gouda ; Keith Buckholz ; Collateral Admin-NY < > Cc: Nitin-X Singh <a; Collateral Admin-NY CUSTOMERBUILD BLO <IMMINMEMMON.; Sendhil-kumar K < ; FX Middle Office <fx- >; Debra Jasper Roxanne Scott <fl; Halina Laczny fl >; FX Middle Office <SIS; Hiren Mathur ca; CRM-PWM Derivatives <a; Enid Ellis ; Collateral-Assets Newyork <IONNONOMOO- 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:[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. +1(212)469-3280 Fax (201 575-4694 Mobile Email EFTA01398615 Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Sin h < 1.=M; Keith Buckholz • Collateral Admin-NY Cc: Nitin-X Sin'h ; Collateral Admin-NY CUSTOMERBUILD BLO Sendhil-kumar K ; FX Middle Office <fx- ; Debra Jasper < ; Roxanne Scott ; Halina Laczny ›; FX Middle Office <1111.1.111MM•all• Hiren Mathur CRM-PWM Derivatives <=IMM IIMM-; Enid Ellis Sla; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, 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. EFTA01398616 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: Wednesday, No To: Keith Buckholz ; Collateral Admin-NY Cc: Srikanta Gouda •:=I IMMINIe; Nitin-X Singh 4IIIIIM Collateral Admin-NY CUSTOMERBUILD BLO FX Middle Office <a; Debra Jasper < ; Roxanne Scott Halina Laczny ; FX Middle Office <III ; Hiren Mathur <a; CRM-PWM Derivatives < ›; Enid Ellis <a>; Collateral-Assets Newyork c > 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, EFTA01398617 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. +1(212)469-3280 Fax (201)575-4694 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 < IMI > Cc: Srikanta Gouda dt= >; Nitin-X Singh Collateral Admin-NY < >; CUSTOMERBUILD BLO Sendhil-kumar K FX Middle Office < ; Debra Jasper < >; Roxanne Scott Halina Laczn ; FX Middle Office <fx- >; Hiren Mathur CRM-PWM Derivatives < >; Enid Ellis <MMINIIIMIlle; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only EFTA01398618 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, Nove • To: Keith Buckholz Cc: Srikanta Gouda <MIIIMflil >; Surendra Singh Nitin-X Singh <SS; Collateral Admin-NY <ale; CUSTOMERBUILD BLO ; Surendra Singh a>; Sendhil- kumar K a>; FX Middle Office <fx- >; Debra Jasper ; Roxanne Scott >; Halina Laczny ; FX Middle Office <a; Hiren Mathur CRM-PWM Derivatives <=lia; Enid Ellis > 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 EFTA01398619 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 Jaipur, India Tel. +1(212)469-3280 Fax (201)575-4694 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 <a; ' Surendra Singh < ; Nitin- X Singh ca>; CUSTOMERBUILD BLO Surendra Singh ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] EFTA01398620 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 @ 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 {cid:[email protected]} Abhijit Mukherjee EFTA01398621 DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip +44 207 5410952 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 : fcid:[email protected] From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Saturday, November 04, 2017 1:50 AM To: Sachiva Gupta a Cc: Srikanta Gouda < ; ; Surendra Singh < ; Nitin- X Singh a; Collateral Admin-NY < liiiIIIIIIIH 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:[email protected] EFTA01398622 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 +44 207 5410952 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 IS; Abhijit Mukherjee <a; <Inn Surendra Singh c lat>; Nitin-X Singh < > Subject: FW: New Derivatives account. [I] 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 EFTA01398623 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. +1(212)250-2961 Avaya- 3382671 Fax +1(212)872-9711 Mobile Email mailto: Go green. Consider the environment before printing this email. EFTA01398624