EFTA01422809.pdf

Subject: RE: Assistance required in resolving points - KYC #01977694[I] From: Alka Babu ‹ > Date: Mon, 05 Nov 2018 07:38:51 -0500 To: Bradley Gillin Cc: Vinita Advani Vijay-A Sawant Stewart Oldfield Richard Iarossi Classification: For internal use only Hi Brad, Good Morning ! Just checking if you happen to receive any update on the status of Lawrence Visoski still associated with the entity "Plan D". Thank you ! Kind regards, fcid:1 [email protected] Alka Babu 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. Mobile From: Alka Babu EFTA01422809 Sent: Thursday, November 01, 2018 8:02 PM To: Bradley Gillin Cc: Vinita Advani ; V a -A Sawant <vijay- >; Stewart Oldfield ; Richard Iarossi Subject: RE: Assistance required in resolving points - KYC #01977695 [I] Classification: For internal use only Hi Brad, Good Morning, a kind reminder on the only pending information needed for this case to be re-submitted. c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also required for legal reps. - We need your assistance on the status of Lawrence Visoski. Reaching out to client. Will revert. Kind regards, fcid:1 [email protected] Alka Babu 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 EFTA01422810 Tel. Mobile + From: Bradley Gillin Sent: Wednesday, October 24, 2018 11:16 PM To: Alka Babu Cc: Vinita Advani ; Vi ay-A Sawant Stewart Oldfield ; Richard Iarossi Subject: RE: Assistance required in resolving points - KYC #01977695 [I] Classification: For internal use only Alka, See below in blue. We had a rejection for the captioned KYC for accounts The 2007 Jeffrey E. Epstein Insurance Trust #3, The Haze Trust, NES, LLC, Plan D, LLC We need your inputs on the points highlighted in red. Case #: 01977694 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 Customer Number: 00000487199 Reason for Rejection:10/19/2018 - Rejection Points: 1. Please provide evidence of or a case comment regarding confirmation from the client that the information on the KYC is still accurate (i.e. EFTA01422811 ownership structure, signatories, etc. have not changed). The comment must include the name of the person spoken with and date this conversation occurred. (The attached internal email does not meet this requirement.) — Have attached the no material confirmation received by you for your reference, however we need more info as per the rejection point. Darren Indyke — 10/22/18 — confirmed that there are no material changes 3. Andrew Gallivan's approval is not dated on the KYC. — Please advise Andrew Gallivan to input the approval date in the case. a. 5. The nature of business narrative for NES LLC states the entity was formed to take care of the expenses associated with running one of Jeffrey's homes. However, the KYC states the purpose of its DDA account is to pay for costs associated with Jeffrey's airplanes. Please review and ensure that information is consistent. I had taken the nature of business from the customer page of NES LLC which states "NES, LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes" and the purpose of the account that you had provided states "This is a simple checking account for pay for costs associated for Jeffrey Epstein's airplanes". Please assist us as this seems to be inconsistent by the checker. Correction - NES, LLC was formed to take care of the expenses associated with running Jeffrey Epstein's NY home 6. The Haze Trust: f. Brokerage account: The signatories identified on the KYC are not consistent with the parties listed in NetX. Darren is the only individual tagged as a signatory on the KYC. Please ensure that the KYC is updated to include all authorized parties for the brokerage account and required information and documentation (including research). — Kindly provide this as we do not have access to NetX. See attached account resolutions: Jeffrey Epstein & Darren Indyke/Trustees - Trust Authorization EFTA01422812 and Trust Agreement Harry Beller & Jean Anne Wiebracht — POAs Paul Barrett — Limited Trading Authorization 11. Plan D LLC: b. Nature of business: Please confirm. Equipment rental/- leasing is listed as the industry for this entity on the Dunn & Bradstreet report (within the due diligence searches). If this is accurate, the KYC should reflect this information. — We need your assistance on the accuracy on Customer page of Plan D LLC mentions "LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes" and search states "Equipment rental/leasing" in the SIC codes (research is attached for your quick reference) An airplane is equipment. Personal airplanes are generally leased out to others when the owner is not using the plan. This is crazy. c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also required for legal reps. - We need your assistance on the status of Lawrence Visoski. Reaching out to client. Will revert. Kind regards, fcid:1 [email protected] EFTA01422813 Alka Babu 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. Mobile EFTA01422814