EFTA01375117.pdf

<image001.git> Bradley Gitlin Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl New York NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Wednesday. A 20I 4 To: Bradley Gillin Cc: Stewart OldficId Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 Importance: High Good Morning Brad/Stewart, I have received following 'new' rejection points on this case, as follows. see me comments in red below - Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. —Could you provide latest (July 18) bank statement for this entity? This should resolve this request. B — Nature of Business: What do they do with the artwork? Do they purchase it and re-sell it? Does the trust only hold artwork as assets? — As per constitutional does, the purpose of Prytanee LLC is for engaging in the acquisition, ownership & management of artwork for investment purposes. I had already updated this but it seems they want more info on re-selling pan. Could you advise on this please? C — Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is none, I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what exactly is being discussed and approved. — Kindly provide this please. D — The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. - For Caroline, I have now updated Sotheby's Switzerland address & already updated that she was appointed them in 2012. Please advise if you have any additional points to add? E — The "How Was the Client(s) Introduced? How long has the RM personally known the client?" field talks about Zorro Management. Please amend. Updated as appropriate. F — New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. Please advise on the following additional points for this case, as appropriate: imagc002.png> I look forward to your response at the earliest in resolving these rejections. thanks. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management BI, DB Centre Mumbai. Nirlon Knowledge Park. Western Express Highway Goregaon East, Mutnbai - 400063 , India CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0070282 CONFIDENTIAL SONY GM_00218488 EFTA01375117