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>; Enid Ellis <->;
Collateral-Assets Newyork <
Subject: RE: New Derivatives account. (II
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.
Regards,
Keith
From: Surendra Singh
Sent: Tuesday, November 14, 2017 11:00 AM
To: Keith Buckholz <
Cc: Srikanta Gouda
>; Surendra Singh <
>; Collateral Admin-NY <
>; Surendra Sin
>; FX Middle Office <
db,corn>; Halina Laczn
>; Hiren Mathur <
>; Enid Ellis <
Subject: FW: New Derivatives account. [I]
Classification: For Internal use only
Hello Keith,
>; Nitin-X Singh <-
>; CUSTOMERBUILD BLO
; Sendhil-kumar K
>; Debra Jasper <
>; Roxanne
>; FX Middle Office <
>; CRM-PWM Derivatives <
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
Kind regards,
Surendra Singh
Surendra Singh
Associate I COO Wealth Management Operations
DBOI Global Services Private Limited
A-1
-
hindra Technology Park. Inside Mahndra World City - SEZ. 302O29 Jaipur. India
Tel.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
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CONFIDENTIAL
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PAsciftOV Perms
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From:
Paolo De-Leo
Sent:
2/21/2018
To:
Xavier Avila;
Davide-A Sferrazza
CC:
Keith Buckholz I
j
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.
nt name
Southern Financial LLC
Thanks and regards,
Paolo
Docs needed
KYC, PCR, RDC
KYC, PCR, RDC
KYC, PCR, RDC
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From:
Paolo De-Leon
Sent:
2/27/2018 9:31:38 AM
To:
Keith Buckholz
Subject:
RE: Southern Financial DC (II
Yes, sounds good! Davide was pretty efficient with locating and retrieving the necessary docs, so this new process is
looking quite promising so far.
From: Keith Buckholz
Sent: Tuesday, February 27, 2018 9:28 AM
To: Paolo De-Leon a
Subject: RE: Southern Financial LLC jlj
Classification: For Internal use only
Perfect, now we can get this name cleared from the daily margin shortfall/call report. Thanks.
Keith
From: Paolo De-Leon
Sent: Tuesday, February 27, 2018 9:27 AM
To: Collateral Admin-NY <
IAbhijit Mukher'ee
Cc: Keith Buckhol
CRM-PWM Derivatives
Subject: Southern Financial LLC
Hello Abhijit and team,
Can you please add this client to the DDR? Attached are the SACA, Pledge Agreements, and other KYC / onboarding
docs.
Please note that there are two accounts for this clientIMIland
Thanks and regards,
Paolo
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
Email
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From:
Diana Canter
Sent:
1/9/2018 4:15:
To:
Keith Buckholz
CC:
Paolo De-Leon
Subject
RE: New Derivatives account. I
Hi Keith — I tried to call you but no voice mail
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
Diana Canter
Director I Supervisory Principals Group-Business Supervisory Office
Deutsche Bank Securities Inc.
Deutsche Bank Wealth Management
South Street. 21202-3298 Baltimore, MD. USA
From: Keith Buckholz
Sent: Tuesday, January 09, 2018 2:21 PM
To: Diana Canter
Cc: Paolo De-Leon
Subject: FW: New Derivatives account.
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