EFTA01417850.pdf

Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] From: Stewart Oldfield Date: Wed, 26 Sep 2018 11:23:43 -0400 To: Vijay-A Sawant < Bradley Gillin Cc: Mayur Rathod Richard Iarossi Submitted. Thanks From: Vijay-A Sawant Sent: Wednesday, September 26, 2018 9:58 AM To: Bradley Gillin < ; Stewart Oldfield Cc: Mayur ; Richard Iarossi Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] Importance: High Hi Brad, Many thanks for the docs & clarification, we are assigning this case (01977695) to Stewart for review. @Stewart, kindly advise if any issues, or else please forward to the AML team for final approval, thanks. Kind Regards, {cid: } EFTA01417850 Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. +91(22)6181-1485 Mobile +91 9833729812 From: Bradley Gillin Sent: Monday, September 24, 2018 8:33 PM To: Vijay-A Sawant < ; Stewart Oldfield Cc: Ma ; Richard Iarossi Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] Classification: Confidential See attached COGS for Zorro. Regarding Section b of the CDD form for Southern Trust Company, Inc, the client has successfully included the entity type - 'Inc.' is a corporation. Thank you. Regards, Brad EFTA01417851 {cid:[email protected]} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Monday, September 24, 2018 10:28 AM To: Bradley Gillin < ; Stewart Oldfield Cc: Mayur Rathod ; Richard Iarossi Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Brad/Stewart, I kind reminder of the below query, just to reiterate, the pending items are listed below for your convenience — SoS or COGS (dtd within last 6 months) from US Virgin Islands registry for Zorro Management LLC Section b of the attached CDD form for Southern Trust Company, Inc needs to reflect the "Type of Entity", as indicated in the form Once the above items are received, we can submit this KYC# 01977695 to the next stages for AML approval, thanks. EFTA01417852 Kind Regards, {cid: } Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway - 400063 , India From: Vijay-A Sawant Sent: Wednesday, August 22, 2018 7:47 PM To: Bradley Gillin < ; Richard Iarossi Cc: Mayur Rathod ; Stewart Oldfield Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Brad, As per your attached no material confirmation for the above accounts and revised CDD Forms provided (in separate emails), we have launched KYC Case#01977695 for these accounts. We are in the middle of completing all the searches and reviewing adverse media, etc. We will advise if anything required. EFTA01417853 In the meantime, after review of all accounts, we confirm that we require the following item for this case — SoS or COGS (dtd within last 6 months) from US Virgin Islands registry for Zorro Management LLC Kindly forward the same, so we can push this case to the next stages at the earliest, thanks. Kind Regards, {cid: } Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway - 400063 , India From: Vijay-A Sawant Sent: Monday, July 30, 2018 2:39 PM To: Bradley Gillin ; Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High EFTA01417854 Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. Upon review of the docs available in the repositories, I have completed the attached checklist, main RP's also listed below for reference — Acct Holder Southern Trust Company, Inc President, Sole Shareholder & Authorized Signatory - Jeffrey Epstein Vice President, Secretary & Authorized Signatory ----- Darren K. Indyke Treasurer Richard Kahn SOW Company Financial Trust Company Kindly advise whether are above identified RP's are correct or not and whether there are any material changes in this account? We require SoS extracted from British Virgin Islands website for the account holding entity. We are unable to extract the same as there is a cost involved with the request, so kindly provide the same. Note we already have the COE (Certificate of Existence) for this entity. The SoS is required so we can evidence that this entity is still registered with the authorities and is active. Regarding CDD form, already provided on this account, (also attached in this email for reference), please note that under section c, Jeffrey Epstein's legal address is incorrect. It seems they have provided the entity address here instead of Jeffrey's personal address. I am attaching Jeffrey's driver's license which confirms his personal address. Request you to kindly have that amended by the client & re-send revised form accordingly. EFTA01417855 Acct Holder — Epstein, Jeffrey E. SOW Company - Financial Trust Company Kindly advise if there are any material changes to this account? ID docs are in order, please advise in case any SOW company that requires inclusion, is missing? This account will be part of KYC of above entity. Acct Holder — Zorro Management. LLC Sole Member & Authorized Signature — Jeffrey Epstein Authorized Signatories — Darren D. Indyke, & Brice M Gordon Upon review, completed checklist attached for reference. Kindly advise if there are any material changes to this account? We require SoS extracted from US Virgin Islands website for the account holding entity. We are unable to extract the same as there is a cost involved with the request, so kindly provide the same. Note we already have the COE (Certificate of Existence) for this entity. The SoS is required so we can evidence that this entity is still registered with the authorities and is active. Regarding CDD form, already provided on this account, (also attached in this email for reference), please note that under section c, Jeffrey Epstein's legal address is incorrect. It seems they have provided the entity address EFTA01417856 here instead of Jeffrey's personal address. I am attaching Jeffrey's driver's license which confirms his personal address. Request you to kindly have that amended by the client & re-send revised form accordingly. I will launch KYC case for all above accounts upon your confirmation of material changes query above, thanks. Kind Regards, {cid: } Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway - 400063 , India EFTA01417857