Epstein File EFTA01455971: Client and Southern Trust (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01455971: Client and Southern Trust (DS10)

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This document is an email chain dated October 29, 2014, among Deutsche Bank employees Paul Morris, Vahe Stepanian, and others regarding Dodd-Frank Initial Margin Segregation Rule compliance for client accounts. The email references signed Election notices for Southern Trust Company, Inc. and Southern Financial, LLC, and includes attachments related to regulatory compliance documentation. The correspondence addresses segregation requirements for derivative accounts under federal financial regulations.

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client Southern Trust Deutsche Bank

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Excerpt 1

CC: DeAWM-WM DerivativeDocs I; Paul Morris [paul.morris@db.com]; Vahe Stepanian Subject: Fw: Part Two - Dodd Frank Initial Margin Segregation Rule - **Client**

Excerpt 2

Attachments: pic14799.gif; pic29766.gif; SHBRK Scann14102912160.pdf; SHBRK Scann14102912170.pdf Classification: Confidential Ian, Please see attached from the **client**

Excerpt 3

Paul Morris/db/ DBAMERICAS, Vahe Stepanian/db, DBAmericas Date: 10/29/2014 01:39 PM Subject: Re: Part Two - Dodd Frank Initial Margin Segregation Rule - **Client**