EFTA01372316.pdf

From: Kshitij Golani Sent: 7/31/2018 10:41:27 AM To: Subject: Your KYC has been rejected Your KYC has been rejected. Case #: KelationsMII IIITHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee. LLC Customer Number: Reason for Rejection:7 31 A - Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. B - Nature of Business: what do they do with the artwork? Do they purchase it and re-sell it? Does the trust only hold artwork as assets? C - Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is none, I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what exactly is being discussed and approved. D - The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. E - The "How Was the Client(s) Introduced? How long has the RH personally known the client?" field talks about Zorro Management. Please amend. F - New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. ALL BELOW RESOLVED OR ADDRESSED ABOVE: 1) Please add the account number for the deposit account. 2) The address on the LLC Agreement does not match the address in the LLC Agreement. Please provide proof of address. 3) Please expand on the nature of business. What do they do with the investment in art work? Re-sell it? 4) Richard Kahn has been tagged as a signatory. However, as per the DB Resolution uploaded under KYC - 1704382, he is not listed as a signatory. If Darren is indeed not a signatory, please remove him from this KYC. 5) The Pierre Trust was created under the laws of uSvl. Please re-run research with that country as well. 6) Can you please locate the full e-mail chain that proves that chip Packards approval actually refers to Epstein's jail sentence? The current e-mail attachment uploaded does not refer to what is actually being discussed. 7) Please attach the ROC Alert for Richard Kahn. 8) Please provide SOW verification for Jeffrey Epstein. 9) Please complete sow narrative for Caroline and provide sow verification as well. 10) The SOW narrative for Jeffrey Epstein seems a bit outdated. It still refers to the Financial Trust Company as the SOW Company. However, based on the consent of board of directors meeting from 2013, Financial Trust Company merged into southern Financial LLC with southern Financial LLC as the surviving entity. Please updated the sow narrative and provide research etc for the new entity. 11) Please explain in detail what this account is being used for. What are the monthly expenses of the company? 12) Please complete the 90 and one year values. The one year value is listed as S1MM, however, the account currently has just less than 5200K. 13) Please provide COGS for Prytanee, LLC. 14) The account opened date in the KYC does not match the account opened date in DbForce. Please re- concile. 15) Please add the state to Darren Indyke and Richard Kahn's address. 16) Please add the TAX ID/Identification number for Caroline. 17) Please provide proof of delivery for the FinCEN form. Please ensure it was e-mailed by the same person who signed the form (Jeffrey Epstein). 18) Please provide google searches for the appropriate entities and individuals. Please ensure you use the most up to date search string that is located in the US country addendum to the KOPs. To view the KYC click here https://dbforcepb.my.salesforce.com/5000e00001LEQzY CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065993 CONFIDENTIAL SDNY_GM_00212177 EFTA01372316