EFTA01387412.pdf

Good Morning Stewart, We have completed KYC Case#01977698 for the above high risked accounts and re-assigning this case to you for your approval. Request you to kindly advise if any discrepancies, or else forward to the AML team for final approval, thanks. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche 08 Centre Private Limited - Deutsche Bank Group Wealth Management From: Vijay-A Sawant Sent: Friday, August 31, 2018 6:04 PM To: Stewart Oldfield < Cc: Richard larossi < >; Mayur Rathod < >; Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Accounts (GCIS#489505), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Stewart, Thanks for the confirmation on Butterfly Trust. We confirm that we do not require CDD form for this account & everything ok with this acct. For Neptune, we agree that we have all docs for Richard Kahn. The only reason we clarified below is because he was missing as RP, from the previously approved KYC (01790739). However as per documentation evidence, we confirm he needs to be added. Anyways, we will be submitting this case by Monday when all searches are complete. I am available for another hour today, are you free for a call now? Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche CM Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089970 CONFIDENTIAL SDNY_GM_00236154 EFTA01387412