EFTA01401952.pdf

Subject: Re: SF [I] From: Xavier Avila e > Date: Fri, 09 Mar 2018 10:31:45 -0500 To: Martin Zeman Cc: Nina Tona Zack Bunimovich Rita Shteynberg Mathew Negus ..litan Patel Alastair Mackinlay Davide-A Sferrazza Zack, what is the status on this urgent request? Xavier Avila Managing Director Deutsche Bank Securities Inc Mobile: Email: On Mar 5, 2018, at 15:09, Martin Zeman e > wrote: > Classification: For internal use only Zack, Please go ahead and set them up for credit derivatives as well as convertible bonds. The credit derivatives is a priority and rather urgent. Client is ready to trade. Thanks Martin From: Nina Tona Sent: Monday, March 05, 2018 3:07 PM To: Martin Zeman ; Zack Bunimovich Xavier Avila < Rita u > Shteynberg ; Mathew Negus . Jitan Patel Cc: Alastair Mackinlay ; Davide-A Sferrazza EFTA01401952 < >; Mathew Negus Subject: RE: SF [I] Classification: For internal use only Martin — Please confirm we don't need SF to be extended for anything else besides credit derivatives and the products already onboarded. Thank you Nina Tona From: Zack Bunimovich Sent: Monday, March 05, 2018 12:58 PM To: Xavier Avila ;cRitaSI lber > Mathew Negus ; Jitan Patel Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza Mathew Negus < >; Nina Tona Subject: RE: SF [I] Classification: For internal use only Hi Xavier, Nothing else is needed from your end at the moment. I will send this request to the KYC team for review and then setup. Can you confirm Credit Derivatives is the only necessary extension? I know Convertible Bonds were also in the discussion. I see the BR 1007494283 set up for a decent amount of products already. See EFTA01401953 below. <image001.jpg> Thanks, Zack From: Xavier Avila Sent: Monday, March 05, 2018 11:45 AM To: Rita Shte nber ; Mathew Negus ; Jitan Patel ; Zack Bunimovich Cc: Alastair Mackinlay Martin Zeman ; Davide-A Sferrazza Mathew Negus < >; Nina Tona Subject: RE: SF [I] Thanks Rita. Zack, let us know what next steps are. From: Rita Shteynberg Sent: Monday, March 05, 2018 11:08 AM To: Xavier Avila ; Mathew Negus Patel ; Zack Bunimovich Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza Mathew Negus < >; Nina Tona Subject: RE: SF [I] EFTA01401954 Including Zack who will be the case manager on this. From: Xavier Avila Sent: Monday, March 05, 2018 10:59 AM To: Rita Shteynberg ; Mathew Negus <Ma; Jitan Patel Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza Mathew Negus >; Nina Tona Subject: RE: SF [I] Hi Rita/Mat, let us know what we need to extend SF to Credit Derivatives as the client is still live in one trade they want to execute. Thanks From: Rita Shteynberg Sent: Friday, March 02, 2018 12:41 PM To: Mathew Ne. US ; Nina Tona < ; Jane Varley ; GM ACO ; Xavier Avila ; lain Macara >; Jitan Patel Cc: Alastair Mackinlay ; Martin Zeman • Davide-A Sferrazza ; Aziz Anwar ; Tanushree Kirti ; Zack Bunimovich Subject: RE: SF [I] Thanks for the confirmation. We will proceed with the onboarding. From: Mathew Negus Sent: Friday, March 02, 2018 12:34 PM To: Nina Tona < >; Jane Varley < >; GM ACO EFTA01401955  ; Xavier Avila ; lain Macara ; Rita Shteynberg ; Jitan Patel Cc: Alastair Mackinlay ; Martin Zeman ; Davide-A Sferrazza ; Aziz Anwar ; Tanushree Kirti Subject: RE: SF [I] I'll take this one for Jitan. As CIB green please proceed with the NCA process and the inherent KYC update. Thank you Mathew Negus Director I ICG Business Management I +1(212)250-6746 From: Nina Tona Sent: Friday, March 02, 2018 12:22 PM To: Jane Varley ; GM ACO ; Xavier Avila ; lain Macara Rita Shteynberg ; Jitan Patel >; Mathew Negus Cc: Alastair Mackinlay Martin Zeman ; Davide-A Sferrazza ; Aziz Anwar ; Tanushree Kirti Subject: RE: SF [I] Importance: High Classification: For internal use only EFTA01401956 Jane — NCA is still in progress. Rita and her team are working on it. They stopped the NCA once they found out it was in red. Jitan will inform them now to complete the NCA. @Jitan — Please inform Rita to continue with the NCA. Thank you Nina Tona From: Jane Varley Sent: Friday, March 02, 2018 11:04 AM To: GM ACO ; Xavier Avila ; lain Macara ; Rita Shteynber ; Jitan Patel ; Mathew Negus Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman Sferrazza ; Aziz Anwar Tanushree Kirti < Subject: RE: SF [I] Classification: For internal use only +Aziz and Tanu Hi Monika, This was a WM US retain from the Offboarding Clearing House process, that currently reflects in the overall CIB file colour (not coverage colour). Hence green. Nina — was NCA completed? We can't see it reflected in dbCAR (still appears EFTA01401957 delinquent) but I know that is part of the broader conversation that Julia is having with Paul Chapman. Thanks Jane From: Monika Valantiejute On Behalf Of GM ACO Sent: 02 March 2018 15:22 To: Xavier Avila ; lain Macara Rita Shteynberg ; Jitan Patel Mathew Negus < ; Jane Varlet' Cc: Nina Tona ; Alastair Mackinla ; Martin Zeman ; Davide-A Sferrazza < Subject: RE: SF [I] Classification: For internal use only Hi Xavier The GB adoption location is Red across all business but this is CIB Green for the US adoption location — as one of the businesses has asked to retain this. @Jane please confirm which business asked to retain? In these instances, the GM products will not be offboarded if another business has asked to retain and the KYC/ACO responsibility sits with that business. However, please also be aware that this is a High Risk client which is KYC deficient and was last reviewed in 2015. EFTA01401958 Please let me know if any other questions. Kind regards, <image002.png> Monika Valantiejute GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. +44 (0) 2075410657 Email From: Xavier Avila Sent: 02 March 2018 13:53 To: GM ACO ; lain Macara ; Rita Shteynberg ; Jitan Patel • Mathew Negus Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman <~n Davide-A Sferrazza < Subject: RE: SF [I] EFTA01401959 Thanks Monica, did we hear anything back? The client is asking questions and we have no clear answers or timeframe to give him. Thanks Xavier Avila Managing Director Deutsche Bank Securities Office: +1 212 4542892 Mobile: From: GM ACO Date: Thursday, Mar 01, 2018, 15:09 To: Xavier Avila , lain Macara , Rita Shteynber , 3itan Patel Mathew Negus , GM ACO Cc: Nina Tona , Alastair Mackinla , Martin Zeman , Davide-A Sferrazza Subject: RE: SF [I] Classification: For internal use only Hi Xavier I've reached out to Central Mercury to find out the CIB colour - I will update as soon as I hear back. Kind regards, EFTA01401960 <image002.png> Monika Valantiejute GM Project Mercury Deutsche Bank Winchester House, 1 Great Winchester Street, London, EC2N 2DB Tel. +44 (0) 2075410657 Email From: Xavier Avila Sent: 01 March 2018 19:25 To: lain Macara ; Rita Shte nber ; Jitan Patel ; Mathew Negus GM ACO Cc: Nina Tona ; Alastair Mackinlay ; Martin Zeman a; Davide-A Sferrazza Subject: RE: SF [I] GM ACO, can you pls let us know what the issue is? We have a client trying to execute a transaction. Thanks EFTA01401961 From: lain Macara Sent: Thursday, March 01, 2018 11:48 AM To: Xavier Avila ; Rita Shte nber ; Mathew Negus Cc: Nina Tona ; Alastair Mackinla Martin Zeman ; Davide-A Sferrazza < > Subject: RE: SF [I] Gm ACO — can you liaise with central merc and establish the CIB colour on the rhp below? thx From: Xavier Avila Sent: 01 March 2018 16:08 To: lain Macara ; Rita Shte nber ; Jitan Patel ; Mathew Negus Cc: Nina Tona ; Alastair Mackinla Martin Zeman ; Davide-A Sferrazza Subject: SF Ian, thanks for the call. So Rita who is the Case Manager seems to suggest that she sees Southern Financial Red and therefore we cannot extend it to Credit Derivatives, while we think we should see this Green from a KCP perspective. Bu you explain to me that the Red might be only when it comes to your ICG world. Can you pls clarify if this client is Red for everyone including KCP and if so how do we turn it Green, as discussed this is an example of a KCP Americas account that is ACOed by us, in this case myself. EFTA01401962 Thanks Xavi From: Nina Tona Sent: Thursday, March 01, 2018 11:00 AM To: Xavier Avila ‹ > Subject: SF <image003.png> Kind regards, <image004.gif> Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management 5022 Gate Parkway Jacksonville, Florida 32256 Tel. +1(904)271-3445 Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea EFTA01401963 discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. EFTA01401964