New York, NY 10154 Tel: +1 212 250-3465 Mobile: +1 From: Keith Buckholz Sent: Monday, November 20, 2017 2:01 PM To: Srikanta Gouda ca>; Surendra Singh >; Collateral Admin-NY < Cc: Nitin-X Sin h <a; Collateral Admin-NY < ; CUSTOMERBUILD BLO Sendhil-kumar K <a; FX Middle Office <fx- >; Debra Jasper ca>; Roxanne Scott >; Halina Laczny Hiren Mathur CRM-PWM Derivatives Enid Ellis -re>; Collateral-Assets Newyork < Subject: RE: New Derivatives account. [I] Srikanta, I was asking if you knew someone (an actual person) who has provided your team with these docs in previous requests. I'll reach to that person for the documents your team requires. Thanks. Keith Sent with BlackBerry Work (www.blackberry.com) From: Srikanta Gouda < > EFTA01398611

Date: Monday, Nov 20, 2017, 1:43 PM To: Surendra Sin h < , Keith Buckholz , Collateral Admin-NY < Cc: Nitin-X Sin h na, Collateral Admin-NY Sendhil-kumar K >, CUSTOMERBUILD BLO >, FX Middle Office <fx- >, Debra Jasper , Roxanne Scott >, Halina Laczny , Hiren Mathur CRM-PWM Derivatives <= >, Enid Ellis Mia, Collateral-Assets Newyork cc Subject: RE: New Derivatives account. [I] Classification: For internal use only As mentioned earlier... "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" Yes.. but not sure, whom do Requester or CRM reach out to get these documents. Thanks Kind regards, Srikanta Gouda fcid:[email protected] Srikanta Gouda Process Supervisor DBOI Global Services Private Limited EFTA01398612

Global Business Services Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Email From: Surendra Singh Sent: Tuesday, November 21, 2017 12:06 AM To: Keith Buckholz Srikanta Gouda < M>; Collateral Admin-NY Cc: Nitin-X Sin h SaS; Collateral Admin-NY >; CUSTOMERBUILD BLO < Sendhil-kumar K FX Middle Office <fx- MI :>; Debra Jaspera.; Roxanne Scott Halina Laczny ; FX Middle Office < ia>; Hiren Mathur CRM-PWM Derivatives < >; Enid Ellis <MIIMIMIS; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Srikanta, Please advise Keith on below mail. 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 - EFTA01398613

SEZ, 302029 Jaipur, India Tel. +1(212)469-3280 Fax (201)575-4694 Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh >; Srikanta Gouda <MIIMMIIIMINfl; Collateral Admin-NY < EM> Cc: Nitin-X Singh n; Collateral Admin-NY ; CUSTOMERBUILD BLO Sendhil-kumar K ; FX Middle Office <fx- ; Debra Jasper ; Roxanne Scott < MMa>: Halina Laczny ; FX Middle Office Hiren Mathur CRM-PWM Derivatives <a Enid Ellis Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surenda, 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 EFTA01398614