EFTA01398528.pdf

Subject: RE: New Derivatives account. [I] From: Paolo De-Leon Date: Thu, 11 Jan 201: 7:2 To: Teresa Metallo Cc: Diana Canter Keith Buckholz Hello Teresa, Can you kindly provide the below documents for Southern Financial LLC? KYC Document PCR Document RDC Document 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 From: Diana Canter Sent: Wednesday, January 10, 2018 1:39 PM To: Keith Buckholz EFTA01398528 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 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 From: Keith Buckholz Sent: Tuesday, January 09, 2018 4:50 PM To: Diana Canter Cc: Paolo De-Leon Subject: RE: New Deriva Ives accoun Classification: For internal use only EFTA01398529 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 EFTA01398530 Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA From: Keith Buckholz Sent: Tuesday, Ja • To: Diana Canter Cc: Paolo De-Leon Subject: FW: New . ] 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, January 09, 2018 2:16 PM To: Keith Buckholz EFTA01398531 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 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 EFTA01398532 From: Keith Buckholz Sent: Friday, December 08, 2017 11:38 AM Collateral Admin-NY CUSTOMERBUILD BLO 'FX Middle Office' e ra asp- Roxanne Scott ina Laczny Hiren Mathur Derivatives Collateral 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 EFTA01398533 New York, NY 10154 From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda Collateral Admin-NY Collateral Admin-NY CUSTOMERBUILD BLO FX Middle Office Debra Jasper Roxanne Scott Halina Laczny Hiren Mathur Derivatives 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 From: Srikanta Gouda EFTA01398534 Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h Keith Buckholz Collateral Admin-NY Cc: Nitin-X Singh Collateral Admin-NY CUSTOMERBUILD BLO FX Middle Office Debra Jasper Roxanne Scott alina Laczny Hiren Mathur CRM-PWM Derivatives Collateral sse s ewyor 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 {cid:[email protected]} Srikanta Gouda Process Supervisor EFTA01398535 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 A min -NY Cc: Nitin-X Singh Collateral Admin- NY LD BLO en i mar FX Middle Office Debra Jasper Roxanne Scott Halina Laczny FX Middle Office CRM-PWM Derivatives Enid Ellis Collateral-Assets Newyork ject erivatives 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 EFTA01398536 A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ. 302029 Jaipur. India Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Monday, Nove I 0 0 u To: Surendra Sin I h rikanta Gouda Collateral Admin-NY Collateral Admin-NY D BLO THOWNEMERRIMUMA! • V 00 Debra Jasper Roxanne Scott alina Laczny • U II U ice iren a ur CRM-PWM Derivatives Enid Ellis fen atera -Assets Newyor 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 EFTA01398537 From: Surendra Singh Sent: Monday, November 20, 2017 1:09 PM • . • O. Keith Buckholz Collateral Admin-NY Collat Si" 1-1 • BLO FX M I ffi Debra Jasper Roxanne Scott Halina Laczn ■ FX Middle • ice r CRM-PWM I erivatives Enid Elli WON ateral-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. 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 EFTA01398538 Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Sin.h o a era Amin-' atera min- LD BLO FX Middle Office Debra Jasper oxanne Scott iren 'a ur CRM-PWM Derivatives Enid Ellis llateral-Assets Newyork u ject: : ew erivatives 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. EFTA01398539 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 Collateral Admin-NY : Srik nt Nitin-X Sin • h Lill I Li t I Mil it itilna k • k ice Debra asper Roxanne Scott Halina Laczn ; FX Middl - I nn iren Mathur CRM-PWM Derivatives Enid Ellis Collateral-Assets Newyork Subject: RE: New Derivatives accoun Classification: For internal use only Hi Keith, Collateral Team has asked for this information to proceed further. @ Collateral Team, EFTA01398540 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 Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh Cc: Srikanta Gouda Nitin-X Singh Collateral Admin-NY liailiCt12:1;11111111111M:1 0 ; Sendhil-kumar K Debra Jasper Roxanne Scott Halina Laczny FX Middle Office Hiren Mathur CRM-PWM Derivatives nid Ellis Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only EFTA01398541 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 Collateral CUSTOMERBUILD BLO Surendra Singh Sendhil- FX Middle Office Jasper Roxanne Scott Ice CRM-PWr Derivatives 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 EFTA01398542 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 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 : rik nt Surendra Singh 'itin- in. Collateral Admin- uren ra ingh Sendhil-kumar K ives account. [I] EFTA01398543 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 EFTA01398544 DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India ror Level I escalations lease contact Mohammed - B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : {cid:[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 Suren ra Singh ing Collateral Admin-NY 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 {cid:[email protected]} EFTA01398545 Abhijit Mukherjee DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India • contact Mohammed-B Hussain at email id : or Leve esca ations p ease 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 Mukhe ing Nitin-X ing Subject: 'ew lerivatives 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 EFTA01398546 Kindly confirm once done. 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 Go green. Consider the environment before printing this email. EFTA01398547