EFTA01426232.pdf

Subject: Fwd: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd GCIS#499760 under the SOUTHERN FINANCIAL RELATIONSHIP From: Bradley Gillin Date: Fri, 31 Aug 2018 08:50:21 -0400 To: Stewart Oldfield He can easily separate. Begin forwarded message: From: Vijay-A Sawant < Date: August 31, 2018 at 8:37:49 AM EDT To: Stewart Oldfield Cc: Richard Iarossi Mayur Rathod , Bradley Gillin < Subject: RE: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP > Hi Stewart, Because both accounts Mort & Gratitude are part of the same KYC (01977700), we require Mort COGS or SoS, so this case can be submitted. SoS is the screenshot of this entities registration confirmation from the state registry website. Alternatively you can provide us the COGS dated within the last 6 months for Mort. This is the only pending item for this case, thanks. Kind Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway EFTA01426232 Goregaon East, Mumbai - 400063 , India Tel. Mobil From: Stewart Oldfield Sent: Friday, August 31, 2018 5:52 PM To: Vijay-A Sawant Cc: Richard Iarossi Ma ur Rathod Bradley Gillin Subject: Re: 2018 Periodic Review of accts 'ort, nc # 87266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP Do we need Mort to complete Gratitude? Also, what is SOS? Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email EFTA01426233 Securities offered through Deutsche Bank Securities Inc. On Aug 31, 2018, at 6:59 AM, Vijay-A Sawant wrote: Good Morning Stewart, After receipt of the COGS for Gratitude America in attached email, we confirm that only the following items are pending for KYC Case#01977700 SOS & COGS for Mort Inc dated in last 6 months. Entity domiciled in US Virgin Islands. Once the above item is received, we will submit this case to the AML team for approval, thanks. Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. Mobil EFTA01426234 From: Vijay-A Sawant Sent: Wednesday, August 01, 2018 5:37 PM Bradley Gillin Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to review of above high-risked accounts due for remediation 8/31/2018. Upon review of the docs available from repositories, we have completed attached checklists, identifying RP's below. List of pending items listed below — Acct Holder — Mort, Inc Director, Sole Shareholder & Authorized Signatory — Jeffrey Epstein Director, Vice President & Authorized Signatory — Darren Indyke Director & Treasurer — Richard Kahn Please confirm material changes to this account and whether RP's identified above are correct or not? We were unable to locate COI for this entity. Additionally we were unable to extract SoS from the US Virgin Islands registry website. Alternatively, kindly provide COGS for this entity, dated within the last 6 months. EFTA01426235 Acct Holder — Gratitude America Ltd President & Authorized Signatory — Jeffrey Epstein Director & Authorized Signatory — Richard Kahn Director, Treasurer & Authorized Signatory — Darren Indyke Please confirm material changes to this account and whether RP's identified above are correct or not? Please note that in some docs, Richard Kahn reflects in Self Certification form (signed in 2016) and Form 990 (also from 2016), both attached for reference. However Richard does not appear in the DB Non Profit Resolution signed in 2015. I have attached this doc as well for reference. Additionally from the last approved KYC 01790739 (from Aug 2017), Richard does not appear as an RP for this entity. Hence checking, kindly advise accordingly. We were unable to locate COI for this entity. Additionally we were unable to extract SoS from the US Virgin Islands registry website. Alternatively, kindly provide COGS for this entity, dated within the last 6 months. We will proceed to launch this case upon your confirmation of the material changes onabove accounts, thanks. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. EFTA01426236 Mobile <mime-attachment> EFTA01426237