EFTA01369253.pdf

For Plan D LLC covered in KYC 01977695, following is the only pending rejection item which requires resolution — c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also required for legal reps. — Kindly provide the relevant doc for this, please? In your last response on this, you had stated "Reaching out to client. Will norm " We look forward to the required does & info. Thanking you in advance for all your help. Kind Regards, Vijay Sawant KYC Case Representative Deutsche CM Centre Private limited - Deutsche Bank Group Wealth Management BI, DB Centre Mamba!, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai 400063, India From: Stewart Oldfield Sent: Thursday, October 25, 2018 11:32 PM To: Vijay-A Sawant < > Cc: Bradley Gillin < >; Richard larossi < ; Alka Babu < >; Mayur Rathod < >; Vinita Advani Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP We've responded to many of these already. Please list only outstanding items in a single email. Thanks From: Vijay-A Sawant Sent: Thursday, October 25, 2018 10:50 AM To: Stewart Oldfield < Cc: Bradley Gillin < >; Richard larossi < >; Alka Babu <I >; Mayur Rathod >; Vinita Advani Subject: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Stewart, As discussed, we are awaiting responses to attached emails. For Plan D, you have mentioned that you are reaching out to the client, so just awaiting feedback on that. Please note the resolution of above cases will lead to completion of ALL accounts from this relationship for 2018. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0061423 CONFIDENTIAL SDNY_GM_00207607 EFTA01369253