EFTA01378765.pdf

• Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case#01790739. Kindly advise on the above so we can complete this case and submit to AML for approval, thanks. Kind Regards, <image001.gif> Vijay Sawant KVC Case Representative Deutsche O8 Centre Private Limited - Deutsche Bank Group Wealth Management 81, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbal - 400063 , India Tel. Mobile From: Vijay-A Sawant Sent: Friday, August 24, 2018 2:39 PM To: Stewart Oldfield < >; Richard larossi > Cc: Mayur Rathod ; Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Accounts Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under t e SOUTHERN FINANCIAL RELATIONSHIP 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 manager as per Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case#01790739. We will proceed to the next stages upon receipt of your confirmation of the above queries, thanks. Kind Regards, <image001.gif> Vijay Sawant KVC Case Representative Deutsche O8 Centre Private Limited - Deutsche Bank Group Wealth Management Etl, OS Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai 400063, India Tel. Mobile CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076014 CONFIDENTIAL SDNY_GM_00222198 EFTA01378765