EFTA01435447.pdf

Subject: Re: 2018 Periodic Review of Accts NES, LLC (GCIS#487265), Plan D, LLC (GCIS#487219), The Haze Trust (GCIS#486428) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS#487199) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Vijay-A Sawant < M> Date: Fri, 24 Aug 2018 04:42:22 -0400 To: Stewart Oldfield Richard Iarossi Cc: Bradley Gillin Terri Sohrab Hi Brad/Stewart, Thanks for the no material change confirmation for below accounts on separate email. However we do require confirmation on following items — For The 2007 Jeffrey E Epstein Insurance Trust#3 : We require documents verifying the address of the UBO and clearer copy of her passport as we are unable to see the DOB on it From the Trust Agreements, we are unable to determine the nature of the trust for both The 2007 Jeffrey E Epstein Insurance Trust#3 and The Haze Trust. Kindly confirm whether these are personal or corporate trusts? Reason for this request is to determine whether we require the FinCen CDD form for these entities or not? Note: we require CDD form filled ONLY for corporate trusts. For NES LLC & Plan D LLC, we require clarification on the authorized signatories to add. As per attached Corporate Resolution, please confirm if ok to add Harry Beller as signatory to this account. Kindly confirm if ALL DB accounts listed below are to be included in this case. Reason for this query is that DBForce reflects some of these accounts to NOT be active. {cid:[email protected]} {cid:[email protected]} fcid:[email protected] EFTA01435447 fcid:[email protected] Kind regards, fcid:1 [email protected] Alka Babu 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. Mobile From: Vijay-A Sawant Sent: Monday, August 13, 2018 6:35 PM To: Bradley Gillin Stewart Oldfield Cc: Alka Babu Subject: 2018 Periodic Review of Accts NES, LLC (GCIS#487265), Plan D, LLC (GCIS#487219), The Haze Trust (GCIS#486428) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS#487199) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked accounts which are due for remediation in Aug & Sept 2018. Upon review of all docs from the repositories and attachments, we have completed attached checklists for which please see assessment below — EFTA01435448 Acct Holder — NES, LLC Sole Member, Sole Shareholder & Authorized Signatory — Jeffrey E. Epstein Authorized Signatory - Darren Indyke Authorized Signatory — Harry Beller Kindly confirm if there are any material changes in this account? Please note there is some discrepancy in the Corporate Resolutions available for this account, attached both docs (titled "Resolution 2014-1" and "Resolution 2014"). In one of the docs, Harry Beller is missing and included in the other. Unfortunately, the doc in which he is included does not have the 1st page and we are unable to link this doc to this entity even though it was signed on the same date & by same party. The evidence for this was also found in the last approved KYC#01790739 where Mr Batter IS included as an authorized signatory. Kindly advise if ok to include him in the new case as well? Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — Plan D, LLC Sole Member, Sole Shareholder & Authorized Signatory - Jeffrey E. Epstein Authorized Signatory - Darren Indyke Authorized Signatory — Harry Beller Kindly confirm if there are any material changes in this account? In this account, please note that the latest Corporate Resolution (signed in 2014 & attached in this email) does not reflect Harry Batter, however from the last approved KYCPrint (from 2017), Harry is included as an authorized signer. Kindly confirm if ok to exclude Harry from the latest case as per EFTA01435449 the Corp Resolution from 2014? Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — The Haze Trust Grantor, Trustee & UBO — Jeffrey E. Epstein Trustee & Authorized Signer — Darren K. Indyke Kindly confirm if there are any material changes in this account? If yes, updated id docs will be required for all RP's in this account since existing ID's have expired. Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — The 2007 Jeffrey E Epstein Insurance Trust#3 Grantor — Jeffrey E. Epstein Trustee & Authorized Signatory — Darren Indyke Trustee & Authorized Signatory — Richard Kahn UBO — Kindly confirm if there are any material changes to this account? Please note we do not have any doc for address verifying UBO EFTA01435450 address. Could you provide the same, please? Additionally, could you provide a clearer copy of her passport please? Unable to see the DOB on the attached passport copy of Finally we require Fincen CDD form required for this account as well. I look forward to your feedback before launching KYC's for the above accounts. Let me know if any queries, thanks. Kind Regards, fcid:1 [email protected] 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. EFTA01435451