Illegal Activity
none
Blackmail
none
Date
2016-07-20
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
Stewart Oldfield forwards an email from Armen Brash regarding the SFTR regulation and the requirement to send a disclosure letter to clients with open ISDA or repo agreements. The email outlines the steps required for compliance, including delivering the letter and attaching proof of delivery to the client's record in dbForce.
Metadata
- Subject
- FW: ACTION REQUIRED: STFR Re ulation Mailing (Part 2) [I]
- Sender
- Stewart Oldfield
- Recipients
- Brianna Fowler
- Document ID
- EFTA01419174
- Date
- 2016-07-20
Relationships 6
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Stewart Oldfield | email correspondence | Brianna Fowler | Stewart Oldfield asks Brianna Fowler to upload his email to dbForce. |
| Armen Brash | email correspondence | Stewart Oldfield | Armen Brash sends an email to Stewart Oldfield regarding SFTR regulation mailing. |
| Armen Brash | email correspondence | Anna-Sofiya Lupolover | Anna-Sofiya Lupolover is CC'd on the email from Armen Brash to Stewart Oldfield. |
| Stewart Oldfield | Contact Owner | SOUTHERN FINANCIAL LLC | Stewart Oldfield is the contact owner for SOUTHERN FINANCIAL LLC. |
| Stewart Oldfield | Contact Owner | SOUTHERN TRUST COMPANY INC | Stewart Oldfield is the contact owner for SOUTHERN TRUST COMPANY INC. |
| Deutsche Bank | Service Provider | Clients | Deutsche Bank provides services to clients with ISDA contracts. |
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.
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
Organizations 5
Deutsche BankDeutsche Bank Wealth ManagementSOUTHERN FINANCIAL LLCSOUTHERN TRUST COMPANY INCISDA
Locations 1
New York, NY, USA
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative, directive
- Purpose
- To inform Stewart Oldfield about the SFTR regulation and instruct him to send a disclosure letter to clients with open ISDA or repo agreements.
- Significance
- The email outlines the steps required to comply with the EU Securities Financing Transactions Regulation (SFTR).
File Info
- File Name
- EFTA01419174.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:26.749572
- DOJ Source
- View on DOJ