EFTA01373149.pdf

From: Jofin Varghese Sent: Wednesday, December 17, 2014 10:36 AM To: Dmitri Saks Cc: CAGNY NCA; Manikandan Muralidharan; Sujith Shetty; US-CB S-AML; Anastasia Pringle; Kumud Sharma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The UBO is the sole controlling person of our entity however the Board of Directors who executed the operating agreement are the pan of the Parent company. We have Considered the confirmation from the BOD of the parent entity which is an independent execution. While the procedure indicated to accept the UBO confirmation provided by the board of director either through an client email or Letter head or formal legal agreements. Kindly provide your view on the same Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobil. Email Escala ion oin : Back Up:sagar.pra cast .corn, Dmitri Saks--12117/2014 08:30:54 PM--Classification: For internal use only Hi Jofin, Dmitri SakradbidbcomeD8COEX From. Jofin Vargheseidb/dbcom(12DBAMERICAS. To. CAGNY NCA/db/dbcompgDBAmencas. Manikandan MuralidharanklbidbcomODBAPAC. SW:1h Shetty/dbklbcomeDBAMERICAS. US-CB Cc: S-AMUdb/dbcomaDBAMERICAS 12/17/2014 08:30 PM Date': RE: EDO package for the RID ONB-120S02 LKYCUS-3443 Patty name Southern Financial LW [I) Subject Classification: For Internal use only Hi lofin, As stated in the attached, Jeffrey Epstein is the only control person, hence the "conflict of interest supposition" still exists. Besides, the supplied Board of Directors paper is neither notarized/witnessed/certified nor represents a formal filing document. In other words, it is not a strong legal proof. In such cases we recommend requesting a letter/email from an internal or external legal counsel. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0067187 CONFIDENTIAL SDNY_GM_00213371 EFTA01373149