Subject: RE: Uncleared OTC derivatives - RESPONSE REQUIRED [I]
From: Cynthia Rodriguez
Date: Wed, 22 Feb 2017 10
To: Anna-Sofiya Lupolove
Stewart Oldfield
Cc: Bradley Gillin
Hi Anna,
Attached is the spreadsheet confirming Stew's response below. I have noted
in the spreadsheet that both accounts are already closed, and responded that
these accounts will obviously not be expected to trade and are okay to close
(because they already are J ). Let us know if you need anything else. Thanks!
Kind regards,
Cynthia Rodriguez
{cid:image001.png@01D0778D.2D49CDD0}
Cynthia Rodriguez
Assistant Vice President
Deutsche Bank Trust Company Americas
Deutsche Asset & Wealth Management
345 Park Avenue 10154-0004 New York, NY, USA
Tel.
Fax
Emai
From: Anna-Sofiya Lupolover
Sent: Tuesday, February 21, 2017 4:04 PM
To: Stewart Oldfield
Cc: Cynthia Rodriguez; Bradley Gillin
Subject: Uncleared OTC derivatives - RESPONSE REQUIRED [I]
EFTA01419129
Classification: For internal use only
Hello,
A number of clients have been identified as having documents on file for
trading uncleared OTC derivatives with DBAG (e.g., interest rate swaps,
credit swaps, equity swaps, NDFs, FX Options, FX Forwards). Your attached
list of clients has not traded in the past 6 months.
A new regulation which is effective March 1st, 2017 requires us to identify
which of these clients we expect to trade uncleared OTC derivatives in the
future. If you say no on the attached spreadsheet, nothing else will be
required. If you select yes, Ellenoi Jarvis will review the Dodd Frank
Protocal to see if the client can be exempted, at which point you will be
informed what next steps are needed.
Since the regulation comes into effect on 3/1/17, we must have all research
completed by then. We are now in a serious time crunch! At this point,
please fill out the attached spreadsheet by 3PM tomorrow, 2/22/2017 by
selecting yes or no for each client.
Thank you very much!
Kind Regards,
Anna-Sofiya
{cid:3 =0ABBF755DFDBA10A8f9e8a93df9386909@db.com}
Anna-Sofiya Lupolover
EFTA01419130
Associate
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
345 Park Avenue New York NY 10154
Tel.
Fax +
Email
Securities offered through Deutsche Bank Securities Inc.
EFTA01419131