Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM To: Surendra Sin h < 1.=M; Keith Buckholz • Collateral Admin-NY Cc: Nitin-X Sin 'h ; Collateral Admin-NY CUSTOMERBUILD BLO Sendhil-kumar K ; FX Middle Office <fx- ; Debra Jasper < ; Roxanne Scott ; Halina Laczny ›; FX Middle Office <1111.1.111MM•all• Hiren Mathur CRM-PWM Derivatives <=IMM IIMM-; Enid Ellis Sla; Collateral-Assets Newyork < 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. EFTA01398616

Kind regards, Srikanta Gouda fcid:[email protected] Srikanta Gouda Process Supervisor 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, No To: Keith Buckholz ; Collateral Admin-NY Cc: Srikanta Gouda •:=I IMMINIe; Nitin-X Singh 4IIIIIM Collateral Admin-NY CUSTOMERBUILD BLO FX Middle Office <a; Debra Jasper < ; Roxanne Scott Halina Laczny ; FX Middle Office <III ; Hiren Mathur <a; CRM-PWM Derivatives < ›; Enid Ellis <a>; Collateral-Assets Newyork c > Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Keith, Collateral Team has asked for this information to proceed further. @ Collateral Team, EFTA01398617

Please assist Keith on below request. 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. +1(212)469-3280 Fax (201)575-4694 Mobile Email Go green. Consider the environment before printing this email. From: Keith Buckholz Sent: Tuesday, November 14, 2017 3:12 PM To: Surendra Singh < IMI > Cc: Srikanta Gouda dt= >; Nitin-X Singh Collateral Admin-NY < >; CUSTOMERBUILD BLO Sendhil-kumar K FX Middle Office < ; Debra Jasper < >; Roxanne Scott Halina Laczn ; FX Middle Office <fx- >; Hiren Mathur CRM-PWM Derivatives < >; Enid Ellis <MMINIIIMIlle; Collateral-Assets Newyork Subject: RE: New Derivatives account. [I] Classification: For internal use only EFTA01398618

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. Regards, Keith From: Surendra Singh Sent: Tuesday, Nove • To: Keith Buckholz Cc: Srikanta Gouda <MIIIMflil >; Surendra Singh Nitin-X Singh <SS; Collateral Admin-NY <ale; CUSTOMERBUILD BLO ; Surendra Singh a>; Sendhil- kumar K a>; FX Middle Office <fx- >; Debra Jasper ; Roxanne Scott >; Halina Laczny ; FX Middle Office <a; Hiren Mathur CRM-PWM Derivatives <=lia; Enid Ellis > Subject: FW: New Derivatives account. [I] Classification: For internal use only Hello Keith, Relevant team is asking to provide below information to get this request processed further. Request you to provide the same. SIC Code NACE Code EFTA01398619

KYC Document PCR Document RDC Document 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. +1(212)469-3280 Fax (201)575-4694 Mobile Email Go green. Consider the environment before printing this email. From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Tuesday, November 14, 2017 10:22 AM To: Sachiva Gupta < Cc: Srikanta Gouda <a; ' Surendra Singh < ; Nitin- X Singh ca>; CUSTOMERBUILD BLO ; Surendra Singh Sendhil-kumar K Subject: RE: New Derivatives account. [I] EFTA01398620

Classification: For internal use only Hi Sachiva, Please provide the below requested information to Customerbuild team in order to set up the customer in LS2. SIC Code NACE Code KYC Document PCR Document RDC Document @ Sendhil — Once you receive the required information, please set up a Guarantor profile in LS2. Note — Once the Customer is set up and $1 Facility is created in LS2, we will link the collateral account to DDR. Kind regards, Abhijit Mukherjee {cid:[email protected]} Abhijit Mukherjee EFTA01398621

DBOI Global Services Private Limited Global Business Services Block 8, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Voip +44 207 5410952 Mobile Email For Level 1 escalations lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : fcid:[email protected] From: Abhijit Mukherjee On Behalf Of Collateral Admin-NY Sent: Saturday, November 04, 2017 1:50 AM To: Sachiva Gupta a Cc: Srikanta Gouda < ; ; Surendra Singh < ; Nitin- X Singh a; Collateral Admin-NY < liiiIIIIIIIH Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Sachiva, We did not find the below customer built in LS2. Kindly reach out to Customer build team to get it built under guarantor profile. Thanks. Kind regards, Abhijit Mukherjee fcid:[email protected] EFTA01398622

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 +44 207 5410952 Mobile Email For Level 1 escalations lease contact Mohammed-B Hussain at email id : For Level 2 escalations please contact Melvin V at email id : From: Sachiva Gupta Sent: Friday, November 03, 2017 10:22 PM To: Collateral Admin-NY Cc: Srikanta Gouda IS; Abhijit Mukherjee <a; <Inn Surendra Singh c lat>; Nitin-X Singh < > Subject: FW: New Derivatives account. [I] Classification: For internal use only Hi All, Could you please add the below client to the DDR? Attached are the SACA and Pledge agreements. Please note there are two accounts for this client. SOUTHERN FINANCIAL LLC EFTA01398623

Kindly confirm once done. Kind Regards, fcid:[email protected] Sachiva Gupta Senior Analyst I Securities Operations - WM US 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. +1(212)250-2961 Avaya- 3382671 Fax +1(212)872-9711 Mobile Email mailto: Go green. Consider the environment before printing this email. EFTA01398624