EFTA01415067.pdf

Subject: RE: 2018 Periodic Review of Accts NES, LLC (GCIS# ), Plan D, LLC (GCIS#IIIIIE, The Haze Trust (GCIS4IIIIII) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS#IIIIII) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Vijay-A Sawant MIE > Date: Tue, 14 Aug 2018 07:59:04 -0400 To: Bradley Gillin < 1.11 1>, Stewart Oldfield > Cc: Alka Babu Hello again, I have just sent followup on the last of accounts from Southern Financial Relationship. For your convenience, following are the list of accounts that are being remediated for 2018 under this relationship. Cdd forms will be required for all. Southern Financial LLC Southern Trust Company, Inc. J. Epstein Virgin Islands Foundation, Inc Gratitude America Ltd Neptune, LLC NES, LLC LSJE, LLC Hyperion Air, LLC JEGE, Inc JEGE, LLC EFTA01415067 Plan D, LLC Jeepers, Inc Mort, Inc Zorro Management, LLC Butterfly Trust The 2007 Jeffrey E. Epstein Insurance Trust #3 The Haze Trust Let me know if any queries, 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 Tel. Mobil From: Vijay-A Sawant EFTA01415068 Sent: Tuesday, August 14, 2018 2:01 PM To: Bradle Gillin a; Stewart Oldfield Cc: Alka Babu Subject: RE: 2018 Periodic Review of Accts NES, LLC (GCIS#IIIIII), Plan D, LLC (GCIS# ), The Haze Trust (GCISMIIIIII) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS#IIIIII) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hi Brad, There are 2 more accounts from the SOUTHERN FINANCIAL RELATIONSHIP that are pending review for 2018. They are Southern Financial LLC and LSJE LLC. I will be sending their initial emails later today so review of ALL accounts under this relationship are complete for 2018. Please note I am not launching cases until I get confirmation of material changes, so kindly advise accordingly, thanks. Kind Regards, fcid: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 Goregaon East, Mumbai - 400063 , India Tel. Mobile + From: Bradley Gillin Sent: Monday, August 13, 2018 7:24 PM To: Vijay-A Sawant Stewart Oldfield EFTA01415069 ` =• Cc: Alka Babu Subject: RE: 2018 Periodic Review of Accts NES, LLC (GCIS4IIIIII), Plan D, LLC (GCIS#IIIIII), The Haze Trust (GCIS#IIIIII) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS#IIIIII) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Classification: For internal use only Vijay, Big thank you. Is this all of the remediation due for the Southern Trust Relationship or do you see additional KYC's coming up — I would like to go back to them with one email. Thanks. Regards, Brad From: Vijay-A Sawant Sent: Monday, August 13, 2018 9:05 AM To: Bradley Gillin < ; Stewart Oldfield Cc: Alka Babu <IM Mt• Subject: 2018 Periodic Review of Accts NES, LLC (ais#), Plan D, LLC (GCIS# ) , The Haze Trust (GCIS#IIIIII) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCISa) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked accounts which are due for remediation in Aug & Sept 2018. Upon review of all docs from the repositories and attachments, we have EFTA01415070 completed attached checklists for which please see assessment below — Acct Holder — NES, LLC Sole Member, Sole Shareholder & Authorized Signatory — Jeffrey E. Epstein Authorized Signatory - Darren Indyke Authorized Signatory — Harry Beller Kindly confirm if there are any material changes in this account? Please note there is some discrepancy in the Corporate Resolutions available for this account, attached both docs (titled "Resolution 2014-1" and "Resolution 2014"). In one of the docs, Harry Beller is missing and included in the other. Unfortunately, the doc in which he is included does not have the 1st page and we are unable to link this doc to this entity even though it was signed on the same date & by ty. The evidence for this was also found in the last approved KYCJ where Mr Batter IS included as an authorized signatory. Kindly advise if ok to include him in the new case as well? Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — Plan D, LLC Sole Member, Sole Shareholder & Authorized Signatory - Jeffrey E. Epstein Authorized Signatory - Darren Indyke Authorized Signatory — Harry Beller Kindly confirm if there are any material changes in this account? In this account, please note that the latest Corporate Resolution (signed in 2014 & attached in this email) does not reflect Harry Batter, however from the last approved KYCPrint (from 2017), Harry is included as an authorized EFTA01415071 signer. Kindly confirm if ok to exclude Harry from the latest case as per the Corp Resolution from 2014? Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — The Haze Trust Grantor, Trustee & UBO — Jeffrey E. Epstein Trustee & Authorized Signer — Darren K. Indyke Kindly confirm if there are any material changes in this account? If yes, updated id docs will be required for all RP's in this account since existing ID's have expired. Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — The 2007 Jeffrey E Epstein Insurance Trust#3 Grantor — Jeffrey E. Epstein Trustee & Authorized Signatory — Darren Indyke Trustee & Authorized Signatory — Richard Kahn UBO — Kindly confirm if there are any material changes to this account? EFTA01415072 Please note we do not have any doc for address verifying UBO address. Could you provide the same, please? Additionally, cou you provide a clearer copy o assport please? Unable to see the DOB on the attached passport copy of Finally we require Fincen CDD form required for this account as well. I look forward to your feedback before launching KYC's for the above accounts. Let me know if any queries, 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 Tel. Mobil EFTA01415073