EFTA01375190.pdf

Tel. Mobile From: Vijay-A Sawant Sent: Friday, August 24, 2018 2:39 PM To: Stewart Oldfield < >; Richard larossi < Cc: Mayur Rathod < >; Bradley Gitlin < Subject: RE: 2018 Periodic Review of High Risked Accounts Ann ( ), Butterfly Trust (GCISIMI) and Neptune, LLC ( under the SOUTHERN FINANCIAL RELATIONSHIP [II 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 - • <!--[if isupportlists]--><!--Iendifj-->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 COO form ONLY in case of Corporate Trusts. • <!--[if isupportLists]--><!--lendifj-->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 Caseit01790739. We will proceed to the next stages upon receipt of your confirmation of the above queries, thanks. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore on East, Mumbai - 400063, India Tel. Mobil From: Vijay-A Sawant Sent: Tuesday, July 31, 2018 6:31 PM To: Bradley Gillin < >; Stewart Oldfield < Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts Ann , Butterfly Trust (GCIS ) and Neptune, LLC under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0070432 CONFIDENTIAL SDNY_GM_00216616 EFTA01375190