From: Keith Buckholz Sent: Monday, November To: Surendra Singh Cc: Nitin-X Singh Sendhil-kumar K ; Debra Jasper ; Halina Laczny Office >; Hiren Mathur CRM-PWM Derivatives •; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surenda, 20, 2017 1:27 PM ; Srikanta Gouda ; Collateral Admin-NY <a> Collateral Admin-NY ; CUSTOMERBUILD BLO <n>; ; FX Middle Office <fx- >; Roxanne Scott ; FX Middle We do need this set up. I am trying to track down these documents, not sure who has them. When the dummy account is set up in LS2, who normally provides these docs? Thanks. Regards, Keith From: Surendra Singh Sent: Monday, November To: Srikanta Gouda Cc: Nitin-X Sin Sendhil-kumar K 20, 2017 1:09 PM ; Keith Buckholz ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO ; FX Middle Office <fx- EFTA01398341

>; Debra Jasper ; Halina Laczny Office ; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hello Keith, >; Roxanne Scott ; FX Middle Please confirm if below request was completed or it is not needed to be set up anymore. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 Email Go green. Consider the environment before printing this email. From: Srikanta Gouda EFTA01398342

Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Singh < -; Keith Buckholz ; Collateral Admin-NY Cc: Nitin-X Singh ; Collateral Admin-NY ; CUSTOMERBUILD BLO <I >; Sendhil-kumar K ; FX Middle Office <fx- >; Debra Jasper ; Roxanne Scott Halina Laczny FX Middle Office >; Hiren Mathur CRM-PWM Derivatives ; Enid Ellis ; Collateral-Assets Newyork <collateral- Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, Generally we do not required the below information in order to setting up a New DDR account.( If the Client is already On boarded to LS2 ). However in this case, We do not see the client is onboard to LS2, in order to onboard the client, Customerbuild team would require the below information. Once the client is onboard, we will go head and create the collateral account. Please note — CRM or the requester used to provide the below requested information to Customerbuild team whenever there is a necessity to onboard a new client. Please feel free to reach out to me if you have any question. Kind regards, Srikanta Gouda {cid:[email protected]} Srikanta Gouda Process Supervisor EFTA01398343

DBOI Global Services Private Limited Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email From: Surendra Singh Sent: Wednesday, November 15, 2017 1:43 AM To: Keith Buckholz Cc: Srikanta Gouda a; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- ; FX Middle Office ; Debra Jasper < ; Roxanne Scott < -; Halina Laczny < ; FX Middle Office <fx- ; Collateral Admin-NY ; Nitin-X Singh <nitin- Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] ; Hiren Mathur ; CRM-PWM 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 EFTA01398344

{Description: Description: cid:[email protected]} Surendra Singh Associate I COO Wealth Management Operations DBOI Global Services Private Limited A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Tel. Fax Mobile +91 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 a; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- ; FX Middle Office ; Debra Jasper < ; Roxanne Scott < -; Halina Laczny < ; FX Middle Office <fx- ; Nitin-X Singh <nitin- Derivatives Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Hiren Mathur 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. EFTA01398345