EFTA01362313.pdf

From: Vijay-A Savavw Sent: 7/31/2018 9:01:09 AM To: Bradley Gilli Stewart Oldfield CC: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts Butterfly Trust (GCISt1486426) and Neptune, LLC (GCIS8487264) under the SOUTHERN FINANCIAL RELATIONSHIP Attachments: Butterfly Trust Checklist 2018.xlsx; Butterfly Volcker.pdf; Neptune, LLC Checklist 2018.xlsx; Fincen COD Form_Certification_Regarding_Beneficial_Owners_of_Legal_Entity_Customers_FINALpdf Importance: High Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. Upon review of the does available in the repositories, we have completed the attached checklist, main RP's also listed below for reference — Acct Holder — Butterfly Trust Grantor — Jeffrey Epstein Trustees — Harry Beller & Erika Kellerhals UBO's Darren Indyke, Karyna Shuliak, Richard Kahn, Following are list of required items — • Confirm whether material changes to account or not & RP's identified above are correct? • Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All UBO's have different surnames and some even different nationalities. Please advise if ok to accept? I have attached the questionnaire in this email for reference. • Depending on the response to above bullet point, we might require CDD form if this trust is deemed to be Corporate trust. Acct Holder — Neptune LLC Sole Member & Shareholder — Jeffrey Epstein Manager — Richard Kahn Authorized Signers — Harry Beller & Darren Indyke Following are list of required items — • Confirm whether material changes to account or not & RP's identified above are correct? • Fincen COD form required, attached blank form for reference Acct Holder & Authorized Signatory Joint Acct Holder & h ri i n r — SOW Company (for Following are the list of required items — • Confirm whether material changes to account or not? CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051683 CONFIDENTIAL SDNY_GM_00197867 EFTA01362313