EFTA01282628.txt Text dataset_10 View on DOJ

Illegal Activity
none
Blackmail
none
Date
2013-10-28
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is a Credit Support Annex and Securities Account Control Agreement between Deutsche Bank AG, Deutsche Bank Securities Inc., and Southern Financial, LLC. It outlines the terms for collateral management, security interests, and account control related to financial transactions between the parties, including definitions, obligations, and rights in case of default.
Metadata
Subject
Credit Support Annex and Securities Account Control Agreement
Sender
—
Recipients
—
Document ID
—
Date
2013-10-28
Relationships 4
Entity 1RelationshipEntity 2Description
DEUTSCHE BANK AG Agreement SOUTHERN FINANCIAL, LLC Credit Support Annex between Deutsche Bank AG and Southern Financial, LLC
DEUTSCHE BANK SECURITIES INC. Agreement SOUTHERN FINANCIAL, LLC Securities Account Control Agreement between Deutsche Bank Securities Inc. and Southern Financial, LLC
DEUTSCHE BANK AG Affiliate DEUTSCHE BANK SECURITIES INC. Deutsche Bank Securities Inc. is an affiliate of Deutsche Bank AG
SOUTHERN FINANCIAL, LLC Debtor/Secured Party DEUTSCHE BANK AG Southern Financial, LLC is the Debtor and Deutsche Bank AG is the Secured Party
Notable Quotes 3
Each party, as the Pledger, hereby pledges to the other party, as the Secured Party, as security for its Obligations, and grants to the Secured Party a first priority continuing security interest in, lien on and right of Set-off against all Posted Collateral Transferred to or received by the Secured Party hereunder.
The Intermediary shall have no duty or obligation whatsoever of any kind or character to determine whether or not an event of default exists under any agreement between the Debtor and the Secured Party.
EACH OF DEBTOR, INTERMEDIARY AND SECURED PARTY HEREBY IRREVOCABLY WAIVES, TO THE FULLEST EXTENT PERMITTED BY APPLICABLE LAW, ANY RIGHT TO A JURY TRIAL IN ANY ACTION OR PROCEEDING ARISING OUT OF OR RELATING TO THIS AGREEMENT.
Financial Information
Amounts:$100,000USD 40,000,000USD 20,000,000
Assets:
  • Cash
  • negotiable debt obligations issued by the U.S. Treasury Department
  • Treasury Bills
  • Treasury Notes
  • Treasury Bonds
  • Eligible Accounts
  • Posted Collateral
Transactions:
  • Transfer of Eligible Credit Support
  • Transfer of Posted Credit Support
  • Transfer of Interest Amount
  • Liquidation of Posted Collateral
  • Set-off of amounts payable
  • Trading and margin activities
  • Transfer of financial assets from primary to secondary account
  • Redemption of financial assets
Public Knowledge
Context
This is a standard legal agreement for financial transactions, unlikely to be public knowledge unless related to a specific legal dispute.
Legal Compliance
  • Security interest in Posted Collateral
  • Events of Default
  • Rights and Remedies of Secured Party and Pledgor
  • Representations regarding ownership and transfer of Eligible Collateral
  • Compliance with UCC (Uniform Commercial Code)
Raw Analysis JSON click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
People 6
Cynthia Cur)moKATHLEEN YOHEpant E SalvasThomas HoddinottGedeon PinedoNicholas Haigh
Organizations 10
DEUTSCHE BANK AGSOUTHERN FINANCIAL, LLCInternational Swaps and Derivatives Association, IncISDAU.S. Treasury DepartmentDeutsche Bank AG New York BranchDEUTSCHE BANK SECURITIES INC.Federal Reserve SystemEmerging Markets Traders AssociationForeign Exchange Committee
Locations 4
New YorkUnited States of AmericaSt. Thomas, US Virgin IslandsNew York City
Financial Entities 1
Deutsche Bank
Text Analysis
Tone
Legal/Formal
Purpose
To establish the terms and conditions for credit support and securities account control between Deutsche Bank AG and Southern Financial, LLC.
Significance
This document outlines the legal and financial obligations of both parties regarding collateral, security interests, and account management. It defines the conditions under which Deutsche Bank can exercise control over the securities account and the types of assets that can be used as collateral.
File Info
File Name
EFTA01282628.txt
Dataset
dataset_10
Type
Text
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43:58.231389
DOJ Source
View on DOJ