EPSTEIN
page 7 / 338 . OCR, unverified
Office
Cell:
From:
Tazia Smith/db/dbcom
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0 111892
CONFIDENTIAL
SDNY_GM_00258076
EFTA01454001
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To:
Paul Morris,
Cc:
Amanda
vahe Stepanian
Date:
04/28/2014 04:05 PM
Subject:
Black Follow Ups week of 4/28 [I]
classification: For internal use only
* * CONFIDENTIAL. INTERNAL ONLY. " *
Paul -
I spoke with CRM. Good news: (1) Leon opened a personal account, easier for
ISDA negotiation than an entity, (2) they understand and are receptive to us
emulating SOFL'S terms and agree that this should greatly accelerate the
process.
Bad news: CRM won't begin the process until we have a PFS in house
- the bulk of the asset side of his balance sheet may be publicly available,
but his liability side is not.
Recap for Leon:
Tuesday 4/29
- Tazia/vahe/Jay - plan out all information required and prepare all
documents for account to mirror Jeffrey's (AWM and CB&S) to be able to send
email to Eileen/Darren [Wednesday]. Need to include in London onboarding
discussions as well. Equity Derivs, FX, Commods, etc...
- Paul/Tazia - check in with Eileen, thank you and our team be sending
through additional paperwork for completion, ISDA draft to follow as soon as
PFS is in house (will move forward with the negotiation with Darren)
Wednesday 4/30
- Team - Send add'l paperwork over to Eileen/Darren
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Tazia smith
Director I Key client Partners - us
DB securities Inc
Deutsche Asset & wealth management
345 Park Avenue, 10154-0004 New York, NY, USA
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0 111893
CONFIDENTIAL
SDNY_GM_00258077
EFTA01454002
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METADATA_FILENAME: EFTA01454003.pdf
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Petwitnecir Peepwrvt,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0111895
CONFIDENTIAL
SDNY_GM_00258079
EFTA01454003
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METADATA_FILENAME: EFTA01454004.pdf
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0 111896
CONFIDENTIAL
SDNY_GM_00258080
EFTA01454004
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METADATA_SOURCE: IMAGES0079
METADATA_FILENAME: EFTA01454005.pdf
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Petwitnecir Peepwrvt,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0111897
CONFIDENTIAL
SDNY_GM_00258081
EFTA01454005
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METADATA_SOURCE: IMAGES0079
METADATA_FILENAME: EFTA01454006.pdf
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0 111898
CONFIDENTIAL
SDNY_GM_00258082
EFTA01454006
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METADATA_FILENAME: EFTA01454007.pdf
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Petwitnecir Peepwrvt,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0111899
CONFIDENTIAL
SDNY_GM_00258083
EFTA01454007
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METADATA_SOURCE: IMAGES0079
METADATA_FILENAME: EFTA01454008.pdf
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sign/date pg. 3
-After Hours - Please sign the last page of the document
-Email Waiver Letter - Please Sign the Client Section
-IPO Form - Please check applicable boxes in Sections A + B, and sign/date top
of pg. 2
-Prime Brokerage Agreement
(See attached file: FX Agency Direction Letter.pdf)(See attached file: Options
Account Agreement.pdf)(See attached file: Structured Products New Agreement
and Approval Form.pdf)(See attached file: After Hours Authorization
Letter.pdf)(See attached file: Email waiver_Letter.pdf)(See attached file:
Rule 5131 IPO Form.pdf)(See attached file: Prime Brokerage Agreement.pdf)(see
attached file: uncovered Options writing.pdf)
Kind Regards,
Jay Lipman
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Jay Lipman
Analyst I Key Client Partners
DB Securities Inc
Deutsche Asset & wealth Management
New York, NY, USA
From:
Tazia Smith/db/dbcom
To:
Jay Lipman/db/dbcom@DBAMERICAS,
Date:
02/03/2014 10:01 PM
Subject:
Re: New Capital Markets Flow Client - Onboarding Package [I]
classification: For internal use only
Let's revisit our checklist? Get Joerg and all back involved?
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Tazia Smith
Director I Key Client Partners - US
Deutsche Bank Securities Inc
Deutsche Asset & wealth Management
345 Park Avenue, 26th Floor
New York. NY 10154
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0111901
CONFIDENTIAL
SDNY_GM_00258085
EFTA01454008
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METADATA_SOURCE: IMAGES0079