Illegal Activity
none
Blackmail
none
Date
2016-07-19
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:44
Summary
This email chain discusses the requirements of the EU Securities Financing Transactions Regulation (SFTR) and the steps Deutsche Bank employees need to take to comply, specifically regarding disclosure statements for clients with open ISDA or repo agreements. Armen Brash provides instructions to Stewart Oldfield on delivering the disclosure letter and documenting the delivery.
Metadata
- Subject
- RE: ACTION REQUIRED: STFR Re ulation Mailing (Part 2) [I]
- Sender
- Vahe Stepanian
- Recipients
- Stewart Oldfield
- Document ID
- EFTA01414666.txt
- Date
- 2016-07-19
Relationships 5
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Vahe Stepanian | email correspondence | Stewart Oldfield | Vahe Stepanian forwards an email from Stewart Oldfield to Zbynek Kozelsky for clarification. |
| Stewart Oldfield | email correspondence | Armen Brash | Stewart Oldfield forwards an email from Armen Brash to Vahe Stepanian regarding SFTR regulation mailing. |
| Armen Brash | email correspondence | Anna-Sofiya Lupolover | Armen Brash sends an email to Stewart Oldfield, copying Anna-Sofiya Lupolover, regarding SFTR regulation mailing. |
| Stewart Oldfield | Active Client | SOUTHERN FINANCIAL LLC | Stewart Oldfield is the contact owner for SOUTHERN FINANCIAL LLC |
| Stewart Oldfield | Active Client | SOUTHERN TRUST COMPANY INC | Stewart Oldfield is the contact owner for SOUTHERN TRUST COMPANY INC |
Notable Quotes 2
Even though these ISDA contracts may be old, they are still considered active because an ISDA contract never expires until the client terminates with DB in writing.
The EU Securities Financing Transactions Regulation ('SFTR') requires Deutsche Bank to provide to clients with whom Deutsche Bank has certain security collateral arrangements a disclosure statement regarding the general risks and consequences that may be involved in consenting to a right of use of collateral provided under the security collateral arrangement.
Public Knowledge
- Context
- The document discusses internal procedures for complying with financial regulations, which is unlikely to be public knowledge.
Legal Compliance
- Compliance with EU Securities Financing Transactions Regulation (SFTR)
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCommunications/correspondenceCompliance issues
People 6
Organizations 5
Deutsche BankDeutsche Bank Wealth ManagementSOUTHERN FINANCIAL LLCSOUTHERN TRUST COMPANY INCISDA
Locations 3
New York, NY, USA345 Park Avenue, 10154-0004 New York, NY, USAEU
Financial Entities 2
SOUTHERN FINANCIAL LLCSOUTHERN TRUST COMPANY INC
Text Analysis
- Tone
- Informative, professional
- Purpose
- To inform Stewart Oldfield about the SFTR regulation mailing requirements for specific clients with ISDA contracts and to provide instructions on how to comply.
- Significance
- The document outlines the steps required to comply with the EU Securities Financing Transactions Regulation (SFTR) regarding disclosure statements for clients with open ISDA or repo agreements.
File Info
- File Name
- EFTA01414666.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:44:04.166010
- DOJ Source
- View on DOJ