EFTA01421982.pdf

Subject: RE: 2018 Periodic Review of High Risked Accounts J. Epstein Virgin Islands Foundation, Inc (GCIS#486427) & Hyperion Air, LLC (GCIS#487225) under the SOUTHERN FINANCIAL RELATIONSHIP From: Vijay-A Sawant ‹ > Date: Mon, 24 Sep 2018 05:54:27 -0400 To: Stewart Oldfield Cc: Bradley Gillin Mayur Rathod Richard Iarossi Hello Stewart, As per COGS received last week (in separate email), we are all sorted for this case (01977699) except the following — GCIS 486427 — We are unable to see this account in DB Insight. So we need expected size and frequency of regular inflows and outflows & what is the expected volume of assets and currency for the account approx. 90 days after opening. {cid:[email protected]} In addition to the below, could you advise the following info for account holder (J. Epstein Virgin Islands Foundation, Inc) as the numbers do not seem to make sense and can invite potential rejection point — We look forward to your feedback before we re-submit these cases for AML approval, thanks. Kind Regards, {cid:1 [email protected]} EFTA01421982 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. Mobile + From: Vijay-A Sawant Sent: Friday, August 24, 2018 3:33 PM To: Richard Iarossi Stewart Oldfield Cc: Bradle ; Terri Sohrab ; Mayur Rathod Subject: Re: 2018 Periodic Review of High Risked Accounts J. Epstein Virgin Islands Foundation, Inc (GCIS#486427) & Hyperion Air, LLC (GCIS#487225) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Richard/Stewart, We have already received no material change confirmation from Brad as per attached email on the accounts listed in the subject line, upon which we have launched KYC case#01977699 for their remediation. After this confirmation, the following items are required for this case to be completed successfully - For J. Epstein Virgin Islands Foundation, Inc - We found the IRS letter which confirms that this is a 501 (c ) (3) entity but we are unable to obtain 'SoS' or screenshot from the IRS website. This could mean that this entity is no longer tax exempt and/or active. Could you provide the 'SoS' from IRS website or advise on this please? Hyperion Air, LLC — SOS from USVI website or COGS dated within 6 months EFTA01421983 Above items should clear this case for approval submission, so kindly provide accordingly, thanks. Kind Regards, {cid: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. Mobile Thanks & Regards {cid:1 [email protected]} Mayur Rathod KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Floor 1, Bl, DB Centre Mumbai Nirlon Knowledge Park, Western Express Highway, Goregaon East, Mumbai 400063, India Tel.: Email: From: Vijay-A Sawant EFTA01421984 Sent: Monday, July 30, 2018 4:20 PM To: Bradley Gillin < ; Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts J. Epstein Virgin Islands Foundation, Inc (GCIS#486427) & Hyperion Air, LLC (GCIS#487225) Importance: High 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 — J. Epstein Virgin Islands Foundation, Inc President & Authorized Signatory — Jeffrey Epstein Vice President & Authorized Signatory — Darren K. Indyke Treasurer, Secretary & Authorized Signatory — Erika Kellerhals Kindly advise if the above RP's are correct? Also advise if any material changes to this account? During review, I noticed the IRS letter which confirmed that this is a 501 (c ) (3) entity but I am unable to obtain 'SoS' from the IRS website. This could mean that this entity is no longer tax exempt. Could you advise on this, please? Regarding the CDD form, I am awaiting AML confirmation whether Jeffrey Epstein's address in section c, is acceptable? Will get back to you as soon as response is received from Morgan. EFTA01421985 Acct Holder - Hyperion Air, LLC Sole Member — Jeffrey Epstein Authorized Signatories — Harry Beller & Darren Indyke Kindly advise if the above RP's are correct and whether there are any material changes to this account? Kindly assist in procuring SoS from the US Virgin islands government registry, please? 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 the CDD form, I am awaiting AML confirmation whether Jeffrey Epstein's address in section c, is acceptable? Will get back to you as soon as response is received from Morgan. I will launch KYC upon your confirmation of material changes. Note above accounts will be KYC'd on ONE kyc case, thanks. Kind Regards, {cid: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 EFTA01421986 Tel. Mobile EFTA01421987