Subject: FW: RE: Conference call re: Newco a/c openning
From: [email-masked]
To: [email-masked], [email-masked]
Cc: [email-masked]
Date: Wed, 6 Feb 2002 13:14:58 -0800 (PST)

Account opening forms....

 -----Original Message-----
From: 	[email-masked]@ENRON  
Sent:	Tuesday, February 05, 2002 9:21 AM
To:	Hare, Bill D.; Foster, David; Brackett, Debbie R.; Denny, Jennifer; [email-masked]; Gil, Mercy; [email-masked]; [email-masked]
Cc:	[email-masked]; [email-masked]; [email-masked]
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;
[email-masked]'; [email-masked]';
[email-masked]'; [email-masked]';
[email-masked]'; [email-masked]'
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;
[email-masked]; [email-masked];
[email-masked]; [email-masked]; [email-masked];
[email-masked]
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: [email-masked]
TO: [email-masked]
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 

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