EFTA01398415.pdf

Subject: RE: New Derivatives account. [I] From: Paolo De-Leon a> Date: Wed, 10 Jan 2018 17:13:28 -0500 To: Keith Buckholz Of course, sounds good and will do! From: Keith Buckholz Sent: Wednesday, Januar 10, 2018 5:11 PM To: Paolo De-Leon > Subject: FW: New Derivatives account. [I] Classification: For internal use only Paolo, Do you mind running with this tomorrow? We need to check with Teresa Metallo whether she (or her team) supplied the docs required from the LS2 team in order to open the LS2 facility. If she did not, then see if she knows who can provide that information. Thanks. Regards, Keith 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? EFTA01398415 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 Tel. Fax Email From: Keith Buckholz Sent: Tuesday, January 09, 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 EFTA01398416 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 Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 1 South Street, 21202-3298 Baltimore, MD, USA Tel. Fax Email EFTA01398417 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. 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. EFTA01398418 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] 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 ; Surendra Singh ; Collateral Admin-NY < => Cc: Nitin-X Sin ; Collateral Admin-NY ; CUSTOMERBUILD BLO < =.; Sendhil-kumar K ; 'FX Middle Office' <fx- ; Debra Jasper ; Roxanne Scott ; Halina Laczny ; Hiren Mathur EFTA01398419  ; CRM-PWM Derivatives < >; Enid Ellis ; Collateral-Assets Newyork <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 New York, NY 10154 Tel: Mobile: EFTA01398420 From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda < ; Surendra ureidraSin i ; Collateral Admin-NY Cc: Nitin-X Sin >; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar FX Middle Office <fx- ; Debra Jasper >; Roxanne Scott ; Halina Laczny ; Hiren Mathur CRM-PWM Derivatives ; Collateral-Assets Newyork <collateral- 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 Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h , Keith Buckholz , Collateral Admin-NY Cc: Nitiri-XSi , Collateral Admin-NY >, CUSTOMERBUILD BLO EFTA01398421 Sendhil-kumar K , FX Middle Office <fx- >, Debra Jasper , Roxanne Scott , Halina Laczny Hiren Mathur CRM-PWM Derivatives , Collateral-Assets Newyork <collateral- 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 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 EFTA01398422 To: Keith Buckholz ; Srikanta Gouda ; Collateral Admin-NY .:1 MMEMB> Cc: Nitin-X Sin ; Collateral Admin-NY ; CUSTOMERBUILD BLO < =.; Sendhil-kumar ; FX Middle Office <fx- ; Roxanne Scott FX Middle Office < ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork <collateral- > 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 SEZ, 302029 Jaipur, India Tel. Fax Mobile Email Go green. Consider the environment before printing this email. EFTA01398423 From: Keith Buckholz Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh ; Srikanta Gouda ; Collateral Admin-NY Cc: Nitin-X Sin ; Collateral Admin-NY ; CUSTOMERBUILD BLO < =.; Sendhil-kumar K >; FX Middle Office <fx- ; Debra Jasper < ; Roxanne Scott >; Halina Laczny FX Middle Office < ; Hiren Mathur CRM-PWM Derivatives • ; Enid Ellis >; Collateral-Assets Newyork <collateral- > 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 From: Surendra Singh Sent: Monday, November 20, 2017 1:09 PM To: Srikanta Gouda ; Keith Buckholz ; Collateral Admin-NY Cc: Nitin-X Sin ; Collateral Admin-NY CUSTOMERBUILD BLO Sendhil-kumar ; FX Middle Office <fx- >; Debra Jasper < >; Roxanne Scott EFTA01398424  ; Halina Laczny ; FX Middle Office < ; Hiren Mathur , CRM-PWM Derivatives ; Enid Ellis >.; Collateral-Assets Newyork <collateral- > 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. Fax Mobile Email Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM EFTA01398425 To: Surendra Sin 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 < ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis >; Collateral-Assets Newyork <collateral- > 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. Kind regards, Srikanta Gouda fcid:[email protected] Srikanta Gouda Process Supervisor DBOI Global Services Private Limited EFTA01398426 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 <nitin- [email protected]>; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- [email protected]›; FX Middle Office ; Debra Jasper >; Roxanne Scott < ; Halina Laczn ; FX Middle Office <fx- ; Hiren Mathur >; CRM-PWM Derivatives >; Enid Ellis < Collateral-Assets Newyork <[email protected]> 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]} EFTA01398427 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: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh Cc: Srikanta Gouda < ; Nitin-X Singh <nitin- [email protected]>; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- [email protected]›; FX Middle Office ; Debra Jasper >; Roxanne Scott < ; Halina Laczn ; FX Middle Office <fx- ; Hiren Mathur >; CRM-PWM Derivatives >; Enid Ellis < Collateral-Assets Newyork <[email protected]> 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. EFTA01398428 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 <a; Sendhil- kumar K ; FX Middle Office <fx- >; Debra Jasper ; Roxanne Scott Halina Laczny -; FX Middle Office ; Hiren Mathu r CRM-PWM Derivatives ; Enid Ellis •c " 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 KYC Document PCR Document RDC Document EFTA01398429 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: 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 <collateral.admin- >; CUSTOMERBUILD BLO ; Surendra Singh ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, EFTA01398430 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 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 : EFTA01398431 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 ; Surendra Singh ; Nitin- X Singh • ; Collateral Admin-NY <collateral.admin- > 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]} 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 EFTA01398432 For Level 1 escalations please 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 < ; Surendra Singh ; 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 Kindly confirm once done. Kind Regards, {cid:[email protected]} EFTA01398433 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 Jai ur, India Tel. Avaya- 3382671 Fax Mobile Email mailto: Go green. Consider the environment before printing this email. EFTA01398434