EFTA01384788.pdf

From: Bradley Gill Sent: 10/24/2018 9:4 To: Stewart 0ldfiel Subject: Fwd: Assistance required in resolving points - Attachments: FW_ Southern Financial_Epstein KYC Remediation (I) (5.27 MB).msg; ATT00001.htm; RE_ Southern Financial (II (44.7 KB).msg; A1T00002.htm; Research - Plan D.pdf; ATT00003.htm Regards, Brad Bradley Gillin Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl. 54 Begin forwarded message: From: "Alka Babu" To: "Bradley Gillin' "Richard larossi Cc: "Vinita Advani" "Vija - Subject: Assistance required in resolving points - Classification: For Internal Use only Hi Brad, 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: eason 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. 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. 3. Andrew Gallivan's approval is not dated on the KYC. — Please advise Andrew Gallivan to input the approval date in the case. a. <!--(if !supportlistsj--><!--(endifj-->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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085307 CONFIDENTIAL SDNY_GM_00231491 EFTA01384788