EFTA01405561.pdf

Subject: Re: KYC Question -- From: Amanda Kirby < Date: Fri, 25 Oct 2013 10:24:53 -0400 To: Janice Franklin <[email protected]> Classification: Public Thank you! Best, Amanda Kirby (Embedded image moved to file: pic17100.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax Email (Embedded image moved to file: pic10130.gif) From: Janice Franklin/db/dbcom To: Amanda Kirby/db/dbcom@DBANERICAS, Date: 10/25/2013 10:21 AM Subject: Re: KYC Question -- Classification: Public It does not have to be notarized. Regards, Janice P. Franklin (Embedded image moved to file: pic09643.gif) EFTA01405561 Janice Franklin, CAMS, CFSA, CFIRS Vice President I AML Compliance Officer Deutsche Bank Trust Company Americas Compliance 60 Wall Street, 10005-2836 New York, NY, USA Tel. + Fax +1 Email (Embedded image moved to file: pic23374.gif) From: Amanda Kirby/db/dbcom To: Janice Franklin/db/dbcom@DBAmericas, Date: 10/25/2013 10:12 AM Subject: KYC Question -- Classification: Public Hi Janice, For the below rejection point does the secretary just need to sign Schedule G? Should the signature be notarized? Please let me know ASAP as the client wants to give me everything today 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the company Best, Amanda Kirby (Embedded image moved to file: pic19215.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl EFTA01405562 New York, NY, USA 10154-0004 Tel. Fax + Email (Embedded image moved to file: pic10372.gif) Forwarded by Amanda Kirby/db/dbcom on 10/25/2013 10:10 AM From: Janice Franklin <[email protected]> To: Amanda Kirby/db/dbcom@DBAMERICAS, Date: 10/15/2013 03:56 PM Subject: Your KYC has been rejected Your KYC has been rejected. Case #: 01133377 Relationship: EPSTEIN, JEFFREY RELATIONSHIP Customer Name: Indyke, Darren Customer Number: 00000486405 Reason for Rejection:Please address the following: For The 2007 Jeffrey E. Epstein Insurance Trust #3: 1. Please complete Wealth Profile 2. Re-run searches with correct country. Should be US Virgin Islands, not United States. (Resolved - J. Lightbody) For HBRK Associates, Inc. (both accounts) 1. Please check the Signatory or Full POA box for the signers. (Resolved - J. Lightbody) For Darren K. Indyke PLLC: 1. Please check the Signatory or Full POA box for the signers. (Resolved - J. Lightbody) 2. For the Attorney Trust Account. Is this a IOLA account, and if so, please explain purpose of the checking. Currently it's noted that it will be "for the daily use of the company's needs". If this is a clients esrow account this purpose would not apply. (Resolved - J. Lightbody) For New York Strategy Group, LLC (both account); 1. Please check the Signatory or Full POA box for the signers. (Resolved - J. EFTA01405563 Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To view the KYC click here https://na4.salesforce.com EFTA01405564