EFTA01379622.pdf

From: Stewart Oldfield Sent: 10/24/2018 9:49:33 AM To: Bradley Giffin Richard larossi Subject: RE: Assistance required in resolving points - KYC Let's get a list of things we need confirmed by JE's team and set up a call with Rich Kahn. He knows we're plowing through all of this remediation. From: Bradley Gillin Sent: Wednesday, October 24, 2018 9:44 AM To: Stewart Oldfield Subject: Fwd: Assistance required in resolving points - KYC Regards, Brad Bradley Gillin Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl. Begin forwarded message: From: "Alka Babu" To: "Bradley Gitlin' "Richard larossi' Cc: "Vinita Advani" "Vijay-A Sawant' Subject: Assistance required in resolving points - KYC Classification: For Internal use only Hi Brad, We had a rejection for the captioned KYC for accounts The 2007 Jeffrey E. Epstein Insurance Trust #3, The Haze Trust, NES, LLC, Plan D, LLC We need your inputs on the points highlighted in red. Case #: 01977694 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 Customer Number Reason for Rejection:10/19/2018 - Rejection Points: 1. Please provide evidence of or a case comment regarding confirmation from the client that the information on the KYC is still accurate (i.e. ownership structure, signatories, etc. have not changed). The comment must include the name of the person spoken with and date this conversation occurred. (The attached internal email does not meet this requirement.) — Have attached the no material confirmation received by you for your reference, however we need more info as per the rejection point. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0077246 CONFIDENTIAL SDNY_GM_00223430 EFTA01379622