EPSTEIN
page 3 / 327 . OCR, unverified
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Scott <
>; Halina Laczny <
>; Hiren Mathur <
Enid Ellis <
Subject: RE: New Derivatives account. [I]
a
>; FX Middle Office <
>; CRM-PWM Derivatives
>; Collateral-Assets Newyork <
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
Surendra Singh
Associate I COO Wealth Management Operations
DBOI Global Services Private Limited
A-1
hindra Technology Park. Inside Matindra World City - SEZ. 302O29 Jaipur. India
Tel.
Fax
Mob
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 Sin :h
>; Collateral Admin-NY
>; CUSTOMERBUILD 81O <
>; Sendhil-kumar K <
>; FX Middle Office <
>; Debra Jasper
>; Roxanne
>; Halina Laczn <
>; FX Middle Office <
>; Hiren Mathur <
>; CRM-PWM Derivatives <
>; Enid Ellis <
>; Collateral-Assets Newyork <
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.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
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EFTA01355977
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Kind regards,
Abhijit Mukherjee
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
Mobil
Email
For Level 1 escalations please contact Mohammed-B Hussain at email id :
For Level 2 escalations please contact Melvin Vat email id :
From: Sachiva Gupta
Sent: Friday, November 03, 2017 10:22 PM
To: Collateral Admin-NY
Cc: Srikanta Gouda <
>; Abhijit Mukherjee cf
r, 'fx-
middleoffice@list.db.com'
>; Surendra Singh <
:.; Nitin-X Singh
Subject: FW: New Derivatives account. Ill
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
N4G025403
N4G026161
Kindly confirm once done.
Kind Regards.
Sachlva Gupta
Senior Analyst I Securities Operations - WM US
COO Wealth Management Operations
DBOI Global Services Private Limited
A-1
hindra Technology Park. Inside Matindra World City - SEZ. 302029 Jaipur, India
Tel.
Avaya- 3382671
Fax
Mobi
Ema
Go green. Consider the environment before printing this email.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
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From:
Sent:
To:
Subject:
Jissel Cortes
4/2/2018 1:20:30 PM
Keith Buckholz
Jason Wang I
I; Paolo De-leon
FW: Credit Approval Request Created. Credit Request ID:CRE-75489 Legal Name: Southern Financial, LLC II]
Classification For Internal use only
Please see below
Kind regards,
Jissel Cortes
Jissel Cortes
Deutsche Bank Trust Company Americas
Business Risk Management
345 Park Avenue. 10154-0004 New York. NY, USA
Tel.
Fax
Email
From:
Sent: Monday, April 02, 2018 12:O4 PM
To: Jissel Cortes ‹
>
Subject: Credit Approval Request Created. Credit Request ID:CRE-75489 Legal Name: Southern Financial, LLC
*** PLEASE DO NOT REPLY TO THIS EMAIL***
Dear
An account request with the following details requires your attention to determine whether you are prepared to
consider this name for credit:
Credit Request ID -
Onboarding Request ID -
Request Type -
Contracting Party Name -
Paragon Org ID -
Requested By Name -
Request Date -
Request Status -
Request Comments -
Sales Region -
Business Relationship Name -
Client Role -
Underlying Principal Name -
Adoption Entity Name -
CRE-75489
ONB-1135648
Extension BR
Southern Financial, LLC
8159274
AmberDavis
4/2/18 3:24 PM
New
missing a required product
UK
Southern Financial, LLC_Markets_NSP
Principal
DB AG (London)
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
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Product Name -
GED
Global Credit Derivatives
Business Sponsor (Sales Person) -