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Enron Mail |
Account opening forms....
-----Original Message----- From: Andrew-D.Scott@ubsw.com@ENRON Sent: Tuesday, February 05, 2002 9:21 AM To: Hare, Bill D.; Foster, David; Brackett, Debbie R.; Denny, Jennifer; kim.theriot@enron.com; Gil, Mercy; Ellen.Segriff@ubsw.com; Amelia.Sicilia@ubs.com Cc: Lisa.Feld@ubs.com; Terri.Reynolds@ubsw.com; Andrew-D.Scott@ubsw.com Subject: FW: RE: Conference call re: Newco a/c openning Revised Account form and Sub-account forms attached (ncaf_ubswe.doc & nsaf_ubswe.doc) Rgds Andy CRC Account Vetting London Tel:+44 20 7567 3371 Fax:+44 20 7567 4076 -----Original Message----- From: Scott, Andrew-D Sent: 04 February 2002 15:00 To: Rodriguez, Conchita; Sicilia, Amelia; Segriff, Ellen; 'bill.d.hare@enron.com'; 'Debbie.R.Brackett@enron.com'; 'kim.theriot@enron.com'; 'mercy.gil@enron.com'; 'Jennifer.Denny@enron.com'; 'David.Foster@enron.com' Cc: Feld, Lisa; Reynolds, Terri; Cuthbert, Brian; Scott, Andrew-D Subject: RE: Conference call re: Newco a/c openning All For this afternoons discussion, please find attached: 1.Counterparty list enhanced with UBSW static data 2.Revised UBSWE counterparty account form 3.Revised UBSWE classification form 4.Revised UBSWE 9-way mapping 5.previous mail covering day 1 and post day 1 flows Regards Andy CRC Account Vetting London Tel:+44 20 7567 3371 Fax:+44 20 7567 4076 -----Original Message----- From: Rodriguez, Conchita Sent: 01 February 2002 18:21 To: Sicilia, Amelia; Segriff, Ellen; Scott, Andrew-D; bill.d.hare@enron.com; Debbie.R.Brackett@enron.com; kim.theriot@enron.com; mercy.gil@enron.com; Jennifer.Denny@enron.com; David.Foster@enron.com Cc: Feld, Lisa Subject: Conference call re: Newco a/c openning All: Details for the next conference call as follows: Date: Monday, February 4, 2002 Time: 11:00AM EST Dial in: Domestic: 1-877-732-4370 International: 1-303-804-1786 Conference ID: 1516718 In the event that you can not participate, please let me know. Thank you Conchita Rodriguez 212-821-5086 - ubswe_clients.XLS - nback_ubswe.doc - Nace_UBSWE.xls Priority: Urgent Importance: High Date: Mon, 4 Feb 2002 14:50:37 +0000 Message-Id: <H00003311420f826.1012922469.ln4p1284.ldn.swissbank.com@MHS< Subject: FW: UBSW Energy A/C vetting/openning MIME-Version: 1.0 From: Andrew-D.Scott@ubsw.com TO: Andrew-D.Scott@ubsw.com Content-Type: multipart/Mixed; boundary="openmail-part-280adfd1-00000002" Andy CRC Account Vetting London Tel:+44 20 7567 3371 Fax:+44 20 7567 4076 -----Original Message----- From: Scott, Andrew-D Sent: 30 January 2002 19:23 To: Feld, Lisa; Sicilia, Amelia; Segriff, Ellen Cc: Reynolds, Terri; Scott, Andrew-D Subject: RE: UBSW Energy A/C vetting/openning Importance: High Lisa - preliminary flows Day 1 Names: 1.CRC AV Ldn to review list of 162 to check for existing relationships. The list will be updated with the relevent MF ref so that DMAC Stam can enhance as required 2.CRC-AV Ldn to add MF static data fields to the list - RXM/Reporting/Nace etc 3.CRC-AV Ldn to derive RXM details, Nace and reporting codes 4.Distribute 5.DMAC Stam to update MF 6.Whilst DMAC is updating the list, CRC-AV Ldn to vet names using local research tools. This is the quickest approach. Any names we cannot identify, we will forward to Debbie Brackett with a request for info. Debbie should liase with Legal to avoid duplicity. If KYC docs form part of the Legal assessment, then one of the Legal guys should be making that statement. We will assume (?) resolutions/capacity language presumably is included in the ISDA docs, so not necessary for KYC. Day 2 Names (process needs to be understood and agreed prior to day 2) 1.Account forms to be revised to cater for new products (Marek to provide details) 2.Houston CRC/vetting to get familar with forms and requirements 3.New accounts to be raised by Marketer and approved by business head (who) 4.Marketer sends form and docs to Houston CRC/vetting 5.Houston CRC/vetting conduct KYC/credit assesment in conjunction with Legal 6.Once approved, Houston CRC/vetting send form (with RXM/reporting data) to Houston DMAC 7.Houston DMAC send form with UBSWE mnemonic to DMAC Stam 8.DMAC Stam add to MF 9.DMAC Stam send to CRC-AV Ldn Pls review for discussion on Friday Andy CRC Account Vetting London Tel:+44 20 7567 3371 Fax:+44 20 7567 4076 -----Original Message----- From: Feld, Lisa Sent: 30 January 2002 16:21 To: Sicilia, Amelia; Scott, Andrew-D; Segriff, Ellen Subject: UBSW Energy A/C vetting/openning Importance: High Has your follow-on mtg happened - Glass is very concerned about the process for both day 1 and beyond. Andy, Has a list of FSA vetting reuirements been sent to Debbie Brackett? Bill wants to know what will be an issue since we wil not have all docs day 1? How will the process work going forward? He wants an update by end of today how Andy vs Credit vs legal will coordinate vetting documentation both for the start up names and going fwd. Specifically BD resolutions have been problematic at Enron which we know we need for FSA. Also, what will this A/V group in Houstone be searching for vs what legal is obtaining thru the legal doc process. Andy- Please take the lead on this. I will assist whereever I can. - ncaf_ubswe.doc - ncaf_ubswe.doc - nsaf_ubswe.doc Visit our website at http://www.ubswarburg.com This message contains confidential information and is intended only for the individual named. If you are not the named addressee you should not disseminate, distribute or copy this e-mail. Please notify the sender immediately by e-mail if you have received this e-mail by mistake and delete this e-mail from your system. E-mail transmission cannot be guaranteed to be secure or error-free as information could be intercepted, corrupted, lost, destroyed, arrive late or incomplete, or contain viruses. The sender therefore does not accept liability for any errors or omissions in the contents of this message which arise as a result of e-mail transmission. If verification is required please request a hard-copy version. This message is provided for informational purposes and should not be construed as a solicitation or offer to buy or sell any securities or related financial instruments.
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