EFTA01423667.pdf

Subject: RE: 2018 Periodic Review of Accts NES, LLC (GCIS#IIIIII), Plan D, LLC (GCIS#IIIIII), The Haze Tru;iiiiii(MIIIIII) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Vijay-A Sawant Date: Tue, 14 Aug 2018 04:31:23 -0400 To: Bradley Gillin < Stewart Oldfield Cc: Alka Babu Hi Brad, There are 2 more accounts from the SOUTHERN FINANCIAL RELATIONSHIP that are pending review for 2018. They are Southern Financial LLC and LSJE LLC. I will be sending their initial emails later today so review of ALL accounts under this relationship are complete for 2018. Please note I am not launching cases until I get confirmation of material changes, so kindly advise accordingly, thanks. Kind Regards, {cid:1 [email protected]} Vijay Sawant 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 Tel. Mobile From: Bradley Gillin Sent: Monday, August 13, 2018 7:24 PM To: Vijay-A Sawant • ; Stewart Oldfield Cc: Alka Babu Subject: RE: 2018 Periodic Review of Accts NES, LLC (GCIS#IIIIII), Plan D, EFTA01423667 LLC (GCIS#IIIIII), The Haze Trust (GCIS# ) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS#IIIIII) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Classification: For internal use only Vijay, Big thank you. Is this all of the remediation due for the Southern Trust Relationship or do you see additional KYC's coming up — I would like to go back to them with one email. Thanks. Regards, Brad From: Vijay-A Sawant Sent: Monday, August 13, 2018 9:05 AM To: Bradley Gillin Stewart Oldfield Cc: Alka Babu Subject: 2018 Periodic Review of Accts NES, LLC (GCISMIIIIII), Plan D, LLC (GCIS#IIIIIII, The Haze Trust (GCIS#IIIIII) & The 2007 Jeffrey E. Epstein Insurance Trust#3 (GCIS# under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked accounts which are due for remediation in Aug & Sept 2018. Upon review of all docs from the repositories and attachments, we have completed attached checklists for which please see assessment below — EFTA01423668 Acct Holder — NES, LLC Sole Member, Sole Shareholder & Authorized Signatory — Jeffrey E. Epstein Authorized Signatory - Darren Indyke Authorized Signatory — Harry Beller Kindly confirm if there are any material changes in this account? Please note there is some discrepancy in the Corporate Resolutions available for this account, attached both docs (titled "Resolution 2014-1" and "Resolution 2014"). In one of the docs, Harry Beller is missing and included in the other. Unfortunately, the doc in which he is included does not have the 1st page and we are unable to link this doc to this entity even though it was signed on the same date & by same arty. The evidence for this was also found in the last approved KYC where Mr Batter IS included as an authorized signatory. Kindly advise if ok to include him in the new case as well? Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — Plan D, LLC Sole Member, Sole Shareholder & Authorized Signatory - Jeffrey E. Epstein Authorized Signatory - Darren Indyke Authorized Signatory — Harry Beller Kindly confirm if there are any material changes in this account? In this account, please note that the latest Corporate Resolution (signed in 2014 & attached in this email) does not reflect Harry Batter, however from the last approved KYCPrint (from 2017), Harry is included as an authorized signer. Kindly confirm if ok to exclude Harry from the latest case as per the Corp Resolution from 2014? EFTA01423669 Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — The Haze Trust Grantor, Trustee & UBO — Jeffrey E. Epstein Trustee & Authorized Signer — Darren K. Indyke Kindly confirm if there are any material changes in this account? If yes, updated id docs will be required for all RP's in this account since existing ID's have expired. Finally Fincen CDD form is required for this account, so kindly forward the signed doc, when available. Acct Holder — The 2007 Jeffrey E Epstein Insurance Trust#3 Grantor — Jeffrey E. Epstein Trustee & Authorized Signatory — Darren Indyke Trustee & Authorized Signatory — Richard Kahn UBO Kindly confirm if there are any material changes to this account? Please note we do not have any doc for address verifying UBO address. Could you provide the same, please? Additionally, could you provide a clearer copy of her passport please? Unable to see the DOB on the attached EFTA01423670 passport copy of Finally we require Fincen CDD form required for this account as well. I look forward to your feedback before launching KYC's for the above accounts. Let me know if any queries, thanks. Kind Regards, {cid:1 [email protected]} Vijay Sawant 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 EFTA01423671