EFTA01387951.pdf

From: Vijay-A Sawa Sent: 8/31/2018 7:21: To: Stewart Oldfield ichard larossi CC: Mayur Rathod radley Subject: RE: 2018 Periodic Review of High Risked Accoun Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP (II Importance: High Hi Stewart, Please see pending confirmations required in KYC Case for Butterfly & Neptune, below — • Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. • Neptune LLC — Please note that Richard Kahn has been added as mans er as er Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case Kindly advise on the above so we can complete this case and submit to AML for approval, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche CM Centre Private limited - Deutsche Bank Group Wealth Management RI, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Go 400063, India T From: Vijay-A Sawant Sent: Friday, August 24 2018 2:39 PM To: Stewart Oldfie Richard larossi Cc: Mayur Rathod ; Bradley Gilli Subject: RE: 2018 Periodic Review of High Risked Account Butterfly Trust (GCIS#486426) and Neptune, LLC (GCISft487264) under the SOUTHERN FINANCIAL RELATIONSHIP [II Importance: High Hello Richard, We have received material change confirmation from Brad on below accounts as per attached email. So following are list of items pending on these accounts • • Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. • Neptune LLC — Please note that Richard Kahn has been added as mans er as er Operating Agreement even though he was NOT added as an RP in the previously approved KYC Casr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0091214 CONFIDENTIAL SDNY_GM_00237398 EFTA01387951