EFTA01297869.pdf

Vijay-A Sawant From: Stewart Oldfield Sent: Friday, September 07, 2018 6:32 PM To: Vijay-A Sawant Cc: Bradley Gillin Subject: FW: Southern Financial LLC update [SC] Follow Up Flag: Follow up Flag Status: Flagged From: Kimberly Hart Sent: Monday, October 02, 2017 4:53 PM To: Martin Zeman <[email protected]>; Keith Buckholz Cc: Stewart Oldfield < >; Xavier Avila Daniel-E Kaiser a Subject: RE: Southern Financial LLC update [SC] Classification: Strictly Confidential Jeffrey Epstein has been a client since 2013 and we have a number of open active accounts for him and his related entities including Southern Financial LLC. At the time he was onboarded, the potential reputational risk concerns were escalated to regional management by Chip Packard, Head WM Americas, including John Caruso, Head AML Compliance Americas. Chip was given the go ahead to proceed "so long as nothing further is identified through KYC and AML client adoption". A number of KYC updates have been processed for Mr. Epstein since 2013 — the latest in August 2017. All the KYCs have been approved and all alerts have been cleared. If there are new concerns regarding the client, please let me know so I can escalate. If the concerns are regarding his previous convictions, I just want to confirm that they have been disclosed and cleared by AML Compliance. Regards, Kim Kimberly Hart Managing Director I Regional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 60 Wall Street 17th Floor New York. NY 10005 Securities offered through Deutsche Bank Securities Inc. From: Martin Zeman Sent: Monday, October 02, 2017 11:22 AM SDNY_GM_00061535 CONFIDENTIAL - PURSUANT TO FED. C labl Vej DENTIAL DB-SDNY-0024360 EFTA_00 I 72047 EFTA01297869  To: Kimberly Hart Cc: Stewart Oldfield Xavier Avila Subject: Southern Financial LLC update Ill Classification: For Internal use only Dear Kim, I am following up on the discussion we had together with Dan Kaiser last week about Jeffrey Epstein accounts that will be traded by Paul Barrett from Alpha Capital. Did you have a chance to look at it? Thank you, Martin Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 Park Avenue, 10154-0004 New York, NY, USA KCP products and senates are intended and available only for persons who are sophisticated institutional Investors within the meaning of the FINRA Rule 4512(C)(3). and who are capable of evaluating the strategies. characteristics and investment risks of. and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals ofMS? or its affiliates prior to execubon, and the execution of any transaction or idea discussed herein is conditional on your becomng a client ofDeutsche Bank. Key Client Partners (KCP) products. investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of 0851or any of its affiliates 2 SDNY_GM_00061536 CONFIDENTIAL - PURSUANT TO FED. CQNEJ DENTIAL DB-SDNY-0024361 EFTA_00 172048 EFTA01297870