From: Keith Buckholz Sent: Monday, November 20, 2017 1:27 PM To: Surendra Singh Cc: Nitin-X Sin Sendhil-kumar K >; ; Srikanta Gouda ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO < =.; >; 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 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 From: Surendra Singh Sent: Monday, November To: Srikanta Gouda Cc: Nitin-X Sin Sendhil-kumar 20, 2017 1:09 PM ; Keith Buckholz ; Collateral Admin-NY ; Collateral Admin-NY CUSTOMERBUILD BLO ; FX Middle Office <fx- >; Debra Jasper < >; Roxanne Scott EFTA01398424

; 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 Hello Keith, 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 Email Go green. Consider the environment before printing this email. From: Srikanta Gouda Sent: Wednesday, November 15, 2017 7:46 AM EFTA01398425

To: Surendra Sin Cc: Nitin-X Sin' Sendhil-kumar K h ; 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 Keith, Keith Buckholz ; Collateral Admin-NY ; Collateral Admin-NY ; CUSTOMERBUILD BLO ; FX Middle Office <fx- ; Roxanne Scott FX Middle 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 fcid:[email protected] Srikanta Gouda Process Supervisor DBOI Global Services Private Limited EFTA01398426

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 ; Collateral Admin-NY Cc: Srikanta Gouda < ; Nitin-X Singh <nitin- [email protected]>; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- [email protected]›; FX Middle Office ; Debra Jasper >; Roxanne Scott < ; Halina Laczn ; FX Middle Office <fx- ; Hiren Mathur Derivatives >; Enid Ellis < Collateral-Assets Newyork <[email protected]> Subject: RE: New Derivatives account. [I] Classification: For internal use only >; CRM-PWM Hi Keith, Collateral Team has asked for this information to proceed further. @ Collateral Team, Please assist Keith on below request. Kind regards, Surendra Singh {Description: Description: cid:[email protected]} EFTA01398427

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 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 < ; Nitin-X Singh <nitin- [email protected]>; Collateral Admin-NY CUSTOMERBUILD BLO ; Sendhil-kumar K <sendhil- [email protected]›; FX Middle Office ; Debra Jasper >; Roxanne Scott < ; Halina Laczn ; FX Middle Office <fx- ; Hiren Mathur Derivatives >; Enid Ellis < Collateral-Assets Newyork <[email protected]> Subject: RE: New Derivatives account. [I] Classification: For internal use only Hi Surendra, >; CRM-PWM 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. EFTA01398428