EFTA01371041.pdf

From: Vijay-A Sawant Sent: 9/7/2018 10:10:02 AM To: Kshitij Golani CC: Bradley Gillin Stewart Oldfield Subject: Your KYC has been rejected - Case tf Importance: High Hello Kshitij, I have worked on the below rejection points in above case, kindly refer to my comments in red below - Case Si: Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee, LLC Customer Number: Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. - July 2018 statement verifying address attached. 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? — Comments updated 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 refer to attached email from Kim Hart which addresses this point. Hope it is satisfactory. — The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. - Updated 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 F — New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. — updated Hope this resolves all the issues in this case. I look forward to feedback, if any, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche O8 Centre Private Limited - Deutsche Bank Group Wealth Management Ell, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India This email and any attachments have been transmitted by Deutsche CIB Centre Private Limited Mumbai, India (DB Centre), a Deutsche Bank AG affiliate/group entity in its capacity as a service provider to Deutsche Bank AG and/or its affiliates (Deutsche Bank). CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064194 CONFIDENTIAL SDNY_GM_00210378 EFTA01371041