EFTA01375197.pdf

Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Savant Sent: Wednesday, August 01.2018 4:41 AM To: Bradley Gitlin Cc: Stewart Oldficl Subject: RE: Assistance Required in solving rejection points on KYC Casa Importance: High Good Morning Brad/Stewart, I have received following 'new' rejection points on this case, as follows, see me comments in red below — Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. — Could you provide latest (July 18) bank statement for this entity? This should resolve this request. 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? — As per constitutional does. the purpose of nytanee LLC is for engaging in the acquisition. ownership & management of artwork for investment purposes. I had already updated this but it seems they want mom info on re-selling pan. Could you advise on this please? C — Please check to see if them 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. — Kindly provide this please. D — The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. — For Caroline. I have now updated Sotheby's Switzerland address & already updated that she was appointed there in 2012. Please advise if you have any additional points to add? E - The -How Was the Client(s) Introduced? How long has the RM personally known the client?" field talks about Zorro Management. Please amend. - Updated as appropriate. F - New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. — Please advise on the following additional points for this case, as appropriate: <image002.png> I look forward to your response at the earliest in resolving these rejections. thanks. Kind Regards. timage001.gif> Vijay Saw•ant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management Bl. DB Centre Mumbai. Nirlon Knowledge Park Western Express Highway Gorcaaon East. Mumbai - 400063 , India From: Vijay-A Sawant Sent: Monday, Jul. 23. 2018 12:22 PM To: Bradley Gitlin Cc: Stewart Oldfield Subject: RE: Assistance Required in solving rejection points on KYC Case Importance: High Good Morning Brad/Stewart, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0070441 CONFIDENTIAL SONY GM_002164325 EFTA01375197