Subject: RE: New Derivatives account. [I] From: CUSTOMERBUILD BLO Date: Thu, 18 Jan 2018 16:46:05 -0500 To: Abhijit Mukherjee Cc: Keith Buckholz Srikanta Gouda Paolo De-Leon Surendra Singh CUSTOMERBUILD BLO Classification: For internal use only Hi Abhijit, Please provide the Credit Agreement, KYC evidence, SIC code and NACE code for this guarantor setup. Kind Regards, Sendhil-kumar K Operations Senior Analyst DBOI Global Services Private Limited Ph:+ 44- Email Sendhil-kumar K/db/dbcom From: Abhijit Mukherjee Sent: Thursday, January 18, 2018 11:20 AM To: CUSTOMERBUILD BLO Cc: Keith Buckholz ; Paolo De-Leon Singh ; Sendhil-kumar K Subject: RE: New Derivatives account. [I] ; Srikanta Gouda Classification: For internal use only Hi team, >; Surendra EFTA01398352

Kindly build the below customer under guarantor profile. Thanks. Southern Financial LLC Kind regards, Abhijit Mukherjee Icid:[email protected] 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 Mobile +91 Email For Level 1 escalations lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : Icid:[email protected] From: Paolo De-Leon Sent: Thursday, January 18, 2018 9:02 PM To: Surendra Sin h < Abhijit Mukherjee Cc: Keith Buckholz < ; Srikanta Gouda Subject: RE: New Derivatives account. [I] Hi Abhijit and Surenda, EFTA01398353

Just to confirm my understanding of the process, Abhijit's team cannot proceed with adding of the collateral to the daily derivative report until Surenda's team builds a dummy bond in LS2, and Surenda cannot proceed unless she has the below highlighted items? So it seems that process is in a logjam until all the below information is retrieved. Surenda- in the past when onboarding Wealth Management clients onto LS2, what was the name of the person who provided to you the below information? It seems that in Srikanta note below that CRM is responsible for providing the LS2 team with that information, but CRM is typically involved only with credit risk analysis and margining approval; the information below seems operational and compliance based in nature. I'd like to track down the ultimate owners of the below information so that we can create a process around retrieving this information when setting up new LS2 profiles. SIC Code NACE Code KYC Document PCR Document RDC Document Thanks, Paolo {cid:[email protected]} Paolo De Leon EFTA01398354