EFTA01417062.pdf

Subject: RE: 2018 Periodic Review of High Risked Accounts J. E stein Virgin Islands Foundation, Inc & Hyperion Air, LLC under the SOUTHERN FINANCIAL RELATIONSHIP I From: Bradley Gillin Date: Mon, 24 Sep 2018 10:11:58 -0400 To: Vijay-A Sawant Stewart Oldfiel Cc: Mayur Rathod Richard Iarossi Classification: For internal use only Vijay, Screenshots below of account. Balance after 90 days. — 300,000 Incoming — 100,00/1x for month Outgoing — 50,000/2x per month Gross income — 400,000 Net Profit - 250,000 Est. Inv. Assets — under $1mn Amt of assets — 300,000 fcid:[email protected] EFTA01417062 Regards, Brad {cid:[email protected]} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Monday, September 24, 2018 5:54 AM To: Stewart Oldfield Cc: Bradle Gillin Ma ur Rathod Richard Iarossi Subject: RE: 2018 Periodic Review of High Risked Accounts ' 'rgin Islands Foundation, Inc & Hyperion Air, LLC under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Stewart, As per COGS received last week (in separate email), we are all sorted for this case except the following — — 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 EFTA01417063 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 — {cid:[email protected]} We look forward to your feedback before we re-submit these cases for AML approval, 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 From: Vijay-A Sawant Sent: Friday, August 24 2018 3:33 PM To: Richard Iarossi Stewart Oldfield Terri Sohrab Mayur Rathod EFTA01417064 Subject: Re: 2018 Periodic Review of High Risked Accounts J. E stein Virgin Islands Foundation, Inc & Hyperion Air, LLC 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 caseMIIIIIIIIfor 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 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 EFTA01417065 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 From: Vijay-A Sawant Sent: Monday, July 30, 2018 4:20 PM To: Bradley Gillin Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic R vi w f Hi h Risked Accounts J. Islands Foundation, Inc & Hyperion Air, LLC 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 EFTA01417066 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. 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 EFTA01417067 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, 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 Gore aon East, Mumbai - 400063 , India EFTA01417068