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From:
Amanda Kirby
Sent:
10/29/2014 2:09:57 PM
To:
Ian Hearn I
CC:
0eAWM-WM DerivativeDocs
; Paul Morris [paul.morris@db.com]; Vahe
Stepanian
Subject:
Fw: Part Two - Dodd Frank Initial Margin Segregation Rule - Client Segregation Election Notice [Cl
Attachments: pic14799.gif; pic29766.gif; SHBRK Scann14102912160.pdf; SHBRK Scann14102912170.pdf
Classification: Confidential
Ian,
Please see attached from the client
Best,
Amanda Kirby
(Embedded image moved to file: pic14799.gif)
Amanda Kirby
Deutsche Bank Trust Company Americas
Deutsche Asset & wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
Tel. +1(212)454-6439
Fax
736-0695
(Embedded image moved to file: pic29766.gif)
Securities offered through Deutsche Bank Securities Inc.
Forwarded by Amanda Kirby/db/dbcom on 10/29/2014 02:09 PM
From:
Darren Indyke <
.com>
To:
Amanda Kirby/dbAIIIIIODBAMERICAS,
Cc:
Richard Kahn <E
;
mail.com>, Paul Morris/dbAIIIIIIDBAMERICAS, Vahe
stepanian/dbaBAmericas
Date:
Subject:
Notice [c]
10/29/2014 01:39 PM
Re: Part Two - Dodd Frank Initial Margin Segregation Rule - Client Segregation Election
Please see attached the signed Election notices for both Southern Trust
Company, Inc. and Southern Financial, LLC.
Thank you.
DARREN K. INDYKE
DARREN K. INDYKE, PLLC
575 Lexington Avenue, 4th Floor
New York, New Y r
T1 hn :
emai
(See attached file: SHBRK Scann14102912160.pdf)(See attached file: SHBRK
Scann14102912170.pdf)
***********HIlfek**Afric*fedirtrk**********Akk**frir*frkirtririffirsigetrikik*Afcielle***kiciegfrir**icirefrii**Airir********ISA
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0 115011
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SDNY_GM_00261195
EFTA01455971
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The information contained in this communication is confidential, may be
attorney-client
privileged, and is intended only for the use of the addressee. It is the
property of
Darren K. Indyke, PLLc. unauthorized use, disclosure or copying of this
communication
or any part thereof is strictly prohibited and may be unlawful. If you have
received this
communication in error, please notify us immediately by return e-mail, and
destroy this
communication and all copies thereof, including all attachments.
Copyright of Darren K. Indyke, PLLC - 6 2014 Darren K.
Indyke, PLLC - All rights reserved.
teglea*fettiltitte*trfetrfe**AtrOkft*Afr40***AltrtrftiV*MtretfefrttOlifeftfilitt*ftfelcOtrittrfefile0*46.P.V0***AtrIrer*fetttettlreflefettatt*Pfeitte**Titir
On Oct 21, 2014, at 3:20 PM, Amanda Kirby
classification: confidential
Darren/ Rich -- Part two.
I am reaching out to you in regards to CFTC's ruling on segregated
Initial Margin. In November 2013, the CFTC published its final
requirements that all swap dealers and major swap participants must
notify their clients of their right to require segregation of margin
(other than variation margin) for uncleared swap transactions. The new
regulation became effective on January 6, 2014 and requires all "new
counterparties" of a swap dealer or major swap participant as of this
date to comply with the regulation as of May 5, 2014. For market
participants that were existing counterparties on or prior to January 6,
2014, the compliance date is November 3, 2014.
You have been identified as the Responsible Officer for your
organization and are being asked to reply with your organization's
election to require or not to require initial margin segregation in
accordance with the CFTC Segregation Regime. To avoid potential trading
disruptions, please complete the attached document entitled "IM
Segregation Election Notice" and return it as soon as possible. For your
reference, FAQs are also attached.
If you have any questions do not hesitate to contact me.
Thank you
Best,
Amanda Kirby
<mail Attachment.gif>
Amanda Kirby
Deutsche Bank Trust Company Americas
Deutsche Asset & wealth Management
345 Park Avenue, 10154-0004 New York, NY, USA
<Mail Attachment.gif>
Securities offered through Deutsche Bank Securities Inc.
This communication may contain confidential and/or privileged
information.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
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I
April 25, 2014
IMPORTANT: ACTION REQUIRED
2014 NOTIFICATION OF RIGHT TO SEGREGATION