EFTA01372344.pdf

From: Vijay-A Sawant Sent: 9/20/2018 7:13:59 AM To: Richard larossi Bradley Gillin CC: Vinita Advani ; Daphne Cales Subject: RE: Assistance Required in Resolving Rejection Points in Attachments DB Resolution 2015.pdf; Form ADV March 2018.pdf Hi Rich, Thank you for Mr Richter's passport, however as per DB policy, we require SSN for any UBO who is a US citizen. Unfortunately, our research reports do not show the entire SSN# as the last four digits are crossed out, it shows Mr Richter's SSN as Could we request for this from the client? One of the rejections points in this case is requirement of DB Corp Resolution for the DBAG NY Preferred Banking Account as we have one only for the deposit acct (#44135476), attached for reference. Could we procure this corp resolution for please? Another rejection point is requesting us to verify Jeffrey Lomasky's (the authorized signer's) DOB. I could not find any ID dots for this individual from the repositories in DBForce. Could you provide an ID doc for Jeffrey, please? "Per external research, Cerberus Capital Management, L.P. appears to own companies engaged in the defense industry. Please indicate if the client has gone through industry rep risk. If it has not, please obtain the appropriate approval" — Could you advise on this rejection please? Kindly procure the necessary approval to proceed further. Schedule A of Cerberus Capital Management, L.P.'s Form ADV identifies Cerberus' managing directors/ key officers. Please obtain confirmation from the client indicating which individuals are deemed to be legal reps as defined by the US Country Addendum. — Attached form ADV for reference, refer Schedule A on Pg 124. Please confirm if Cerberus Capital Management, L.P.'s volcker flag is correct. — Current Volcker selection is "None of the Above". Could you confirm the answer to the followup question below for this account holder, please? Volcker Determination Question 2: Is the vertive an operatmg company waren does not own a propose to acquve seturates nerving a value of 40% or more of Me value 04 Its total ace's on a n unconsdiasted basis: Yes Wealth Profile: No Finally please note during our researches on this account, we have identified certain news events on this client which could potentially require us to undertake a rep risk assessment. Will keep you posted on the developments, thanks. Kind Regards, Vijay Sawant Mt Case Representative Deutsche CIES Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066038 CONFIDENTIAL SDNY_GM_00212222 EFTA01372344