Illegal Activity
none
Blackmail
none
Date
2016-07-20
Document Type
email
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This email chain discusses the actions required to comply with the EU Securities Financing Transactions Regulation (SFTR) for Deutsche Bank clients with open ISDA or repo agreements. Stewart Oldfield is instructed to deliver the SFTR Disclosure Letter to specific clients and upload proof of delivery to dbForce.
Metadata
- Subject
- RE: ACTION REQUIRED: STFR Re ulation Mailing (Part 2) [I]
- Sender
- Brianna Fowler
- Recipients
- Armen Brash
- Document ID
- EFTA01426337.txt
- Date
- 2016-07-20
Relationships 6
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Brianna Fowler | email correspondence | Armen Brash | Brianna Fowler is sending Armen Brash an email regarding the STFR regulation mailing. |
| Stewart Oldfield | email correspondence | Brianna Fowler | Stewart Oldfield sent an email to Brianna Fowler to upload his email to dbForce. |
| Armen Brash | email correspondence | Stewart Oldfield | Armen Brash sent an email to Stewart Oldfield regarding the STFR regulation mailing. |
| Armen Brash | email correspondence | Anna-Sofiya Lupolover | Armen Brash copied Anna-Sofiya Lupolover on an email 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. |
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 issues
Organizations 5
Deutsche BankDeutsche Bank Wealth ManagementSOUTHERN FINANCIAL LLCSOUTHERN TRUST COMPANY INCISDA
Locations 2
New York NY USA345 Park Avenue, 10154-0004 New York NY USA
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Informative, procedural
- Purpose
- To inform Stewart Oldfield about the STFR regulation and the required actions for his clients with ISDA contracts.
- Significance
- The document outlines the steps required to comply with the EU Securities Financing Transactions Regulation (SFTR) and ensure clients receive the necessary disclosure statements.
File Info
- File Name
- EFTA01426337.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:18.852916
- DOJ Source
- View on DOJ