EFTA01362335.pdf

From: Vijay-A Sawant Sent: 8/22/2018 10:17:29 AM To: Bradley Gillin - ; Richard larossi CC: Mayur Rathod Stewart Oldfield Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCISSI550331) under the SOUTHERN FINANCIAL RELATIONSHIP III Attachments: FW_ Southern Financial_Epstein NYC Remediation ill (5.25 MB).msg Importance: High Hello Brad, As per your attached no material confirmation for the above accounts and revised CDD Forms provided (in separate emails), we have launched KYC Case#01977695 for these accounts. We are in the middle of completing all the searches and reviewing adverse media, etc. We will advise if anything required. In the meantime, after review of all accounts, we confirm that we require the following item for this case — • SoS or COGS (dtd within last 6 months) from US Virgin Islands registry for Zorro Management LLC Kindly forward the same, so we can push this case to the next stages at the earliest, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche O8 Centre Private Limited - Deutsche Bank Group Wealth Management BI, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore 400063, India Tel. Mob From: Vijay-A Sawant Sent: Monday, Jul 30 2018 2:39 PM To: Bradley Gillin Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. Upon review of the dots available in the repositories, I have completed the attached checklist, main RP's also listed below for reference — CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051710 CONFIDENTIAL SDNY_GM_00197894 EFTA01362335