EFTA01370860.pdf

From: Vijay-A Sawant Sent: 8/1/2018 4:40:36 AM To: Bradley Gillin ( CC: Stewart Oldfield Subject: RE: Assistance Required in solving rejection points on KYC Caseg01946825 ll] 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 dots, 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 part. 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 there 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: L *Sal tbsk /saves Oho b ikts.et born Moth to hf,. *haul wva,t uhnhalh.......1.1.7 here arm mtamle Oat M UP if on opening MIMS, aphle. rsPrc av, nichh fithchdf..: a con: %M/OYal hhhilmn.10 Sol USW owl*. a men "Litumhp? A P< LM VON> Aletlfoll I look forward to your response at the earliest in resolving these rejections, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche O8 Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Monday, July 23, 2018 12:22 PM To: Bradley Gillin < Cc: Stewart Oldfield < CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0063931 CONFIDENTIAL SDNY_GM_00210115 EFTA01370860