EFTA01419073.pdf

Subject: RE: MD approval required for ACUs completed for High Risk Clients [I] From: Andrew Gallivan Date: Fri, 19 Aug 2016 08:22:50 -0400 To: Vaishali-P Me Cc: Mark Gonzalez Stewart Oldfield Joseph Sabbagh Classification: For internal use only Approved From: Vaishali-P Mehta Sent: Thursday, August 18, 2016 5:30 PM To: Andrew Gallivan Cc: Mark Gonzalez; Stewart Oldfield; Joseph Sabbagh Subject: RE: MD approval required for ACUs completed for High Risk Clients [I] Classification: For internal use only Good Evening Andrew, Could you please review the below ACUs and provide your approval ? Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management 101 California Street, Suite 2400, San Francisco, CA USA Tel. Mobil Email EFTA01419073 From: Vaishali-P Mehta Sent: Wednesday, July 27, 2016 12:58 PM To: Andrew Gallivan Cc: Mark Gonzalez; Stewart Oldfield; Joseph Sabbagh Subject: MD approval required for ACUs completed for High Risk Clients [I] Classification: For internal use only Good afternoon Andrew, Based on new procedures, your approval is required for the following ACU's completed for High Risk Clients that were submitted this month for the below clients: Please let me know if you have any questions. Customer Owner GCIS Customer Number MD Customer Name Annual Client Update: Created Date A14. A15. Client Status Update Description EFTA01419074  A16. A17. A17. Mark Gonzalez 00000486553 Andrew Gallivan Gapstow Structured Credit Master Fund LP 42565 The entity is a Private Equity Investments firm. Commitments to the fund are raised from a number of sources including personal pension funds, financial institutions, foundations, endowments, and wealthy individuals. No changes have occurred for this entity. No No No Stewart Oldfield 00000409100 Andrew Gallivan Black, Leon D. 42500 client is CEO of Apollo Global management. Family office established in 2014 to manage family wealth. Distributions from APO and other diversified investments. Yes No No EFTA01419075 Joseph Sabbagh 00000499774 Andrew Gallivan Granite 1717 Hotel LLC 42563 No changes in nature of business No changes in income-producing activities Yes No No Stewart Oldfield 00000486427 Andrew Gallivan J. Epstein Virgin Islands Foundation, Inc 42500 Private foundation investment income Yes No No Stewart Oldfield 00000486423 Andrew Gallivan Jeepers, Inc EFTA01419076 42500 No change in client activities, trading activities, private investments and client advisory. client estate advisory services, investments Yes No No Stewart Oldfield 00000486423 Andrew Gallivan Jeepers, Inc 42500 Jeepers is sub S managing various investments investment activities, advisory services Yes No No Stewart Oldfield 00000487266 Andrew Gallivan Mort, Inc 42500 Mort is entity holding shares of private company Jawbone Holds private investment No EFTA01419077  No No Stewart Oldfield 00000486428 Andrew Gallivan The Haze Trust 42500 Investment vehicle No change Yes No No Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management 101 California Street, Suite 2400, San Francisco, CA USA Tel. Mobil Email EFTA01419078 EFTA01419079