EFTA01400063.pdf

Subject: RE: Southern Financial - KYC Docs. I From: Zack Bunimovich Date: Thu, 19 Apr 2018 17:24:00 -0400 To: Aiasha Khokhar Martin Zeman Nina Tona Cc: Liam Osullivan Davide-A Sferrazza Xavier Avila Joshua Shoshan Classification: For internal use only CRS template is attached. We have their tax form — also see attached. From: Aiasha Khokhar Sent: Thursday, April 19, 2018 5:00 PM To: Zack Bunimovich ; Martin Zeman >; Nina Tona Cc: Liam Osullivan Davide-A Sferrazza vier 'vi a Joshua Shoshan Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Hi Zack: Please attach the CRS form to review. However the client must reach out to their tax team for clarification as we are not authorized to give tax advice or help. Client also has to provide a tax form as well. EFTA01400063 Thanks Best Regards, Aiasha Khokhar From: Zack Bunimovich Sent: Thursday, Aril 19 2018 1:22 PM To: Martin Zeman Nina Tona Aiasha Khokhar Cc: Liam Osullivan Davide-A Sferrazza - • X vier Avila Joshua Shoshan Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Hi Aiasha, I was told you would be able to assist with the below questions Southern Financial had about our CRS form. Can you take a look? Martin — I will see if this confirmation from Richard works... Thanks, Zack From: Martin Zeman Sent: Thursday, Apr' • To: Zack Bunimovich Nina Tona EFTA01400064 Cc: Liam Osullivan Davide-A Sferrazza Xavier Avila Joshua Shoshan Subject: RE: Southern Financial - KYC Docs. [I] Classification: For internal use only Zack, See attached the FATCA + CRS form. Three follow-up questions from the client: 1. Can we clarify the definition of 'Active NFE — other' versus 'Passive NFE' under Part 2 (b). The definition is not very clear to the client. They believe they are 'Active NFE — other' but want clarification 2. Can you say what happens with the information in this form? What does DB do with it and who is it reported to? 3. Do US Virgin Islands also fall under this reporting requirement? On the other points, note the DOB of their legal reps are: Darren Indyk Richard Kahn (see confirmation of this in the attached email from Richard Kahn) Thanks Martin From: Zack Bunimovich Sent: Wednesday, April 11, 2018 5:50 PM To: Martin Zemar Nina Tona Subject: RE: Soul7M7777.7177TIT-T177rniocs. [I] EFTA01400065 Classification: For internal use only Hi Martin, Verification asked for two more points of information — see below. DOB for the Legal Reps o Darren K. Indyke o Richard Kahn Clarification of the NOB. o The NOB provided in the Articles of Organization and Operating Agreement is too vague. Please provide more detailed explanation of NOB. Thanks, Zack From: Martin Zeman Sent: Tuesday, Apri • To: Zack Bunimovich ; Nina Tona Subject: RE: Southern inancla - ocs. [I] Classification: For internal use only Zack See the attached email chain where we established that a FATCA form was not needed. EFTA01400066 Martin From: Zack Bunimovich Sent: Monday, April 09, 2018 11:47 AM To: Martin Zeman Nina Tona Subject: FW: Southern Financial - KYC Docs. [I] Classification: For internal use only Hey Martin / Nina, Southern Financial is with Verification but they noticed that we do not have a CRS Self Certification form on file anymore from previous onboardings. We are usually looking for something similar to the attached format, but it's possible that the client has provided this before and has their own template. Can this be requested from the client? Thanks, Zack From: Anthony Lentini Sent: Monday, April 09, 2018 10:51 AM To: Zack Bunimovich Subject: Southern Financia ocs. Classification: For internal use only Hi Zack, EFTA01400067 An update on Southern Financial, it is with Verification and they are reviewing right now. While they were going through their review they noticed that the CRS Self Cert file from a previous onboarding is no longer on file/- in the system. Could you please send over a new CRS Self Cert so they can proceed with their review? Apologies for the inconvenience. Kind Regards, fcid:1 [email protected] Anthony Lentini Client Data Services I COO DBUSA Core Corp. 5201 Gate Parkway Jacksonville FL32256 EFTA01400068