EFTA01356139.pdf

Thank you, Davide From: Xavier Avila Sent: Wednesday, February 21, 2018 11:44 AM To: Keith Buckholz • Davide-A Sferrazza Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow Ill Sounds good, DAvide can you pls take the lead and let me know if any issues? I don't know what PCR and RDC stands for. Thanks Xavi From: Keith Buckholz Sent: Wednesday, February 21, 2018 11:19 AM To: Xavier Avila Davide-A Sferrazza Cc: Paolo De-Leon Subject: RE: KCP Collateral Flow (lj Hi Xavi, These are the three docs I referred to in our conversation at my desk last week. The Collateral Admin group requires a dummy LS2 facility to be set up to enable the WM collateral value to show up in CMV. That group will not set up an LS2 facility for a new client unless they have certain documentation / information (KYC, PCR, RDC, SIC code, NACE code); BRM will provide the SIC and NACE codes. We'll also ask the documentation team (i.e. Ellenoi) to build this into their required doc list so we don't have to ask you moving forward. Regards, Keith From: Paolo De-Leon Sent: Wednesday, February 21, 2018 10:43 AM To: Xavier Avila Davide-A Sferrazza Cc: Keith Buckholz Subject: KCP Collateral Flow Hello Xavi and Davide, Can you kindly provide the following documents for the below three KCP clients. These docs are required so that we can on board these clients into our daily derivative report, which will allow collateral values to flow correctly. Client name Docs needed KYC, PCR, RDC KYC, PCR, RDC Southern Financial LLC KYC, PCR, RDC Thanks and regards, Paolo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041706 CONFIDENTIAL SDNY_GM_00187890 EFTA01356139