EFTA01387413.pdf

Gore aon East, Mumbai - 400063, India Tel. Mobile • From: Stewart Oldfield Sent: Friday, August 31, 2018 5:52 PM To: Vijay-A Sawant Cc: Richard larossi >; Mayur Rathod < >; Bradley Gillin Subject: Re: 2018 Periodic Review of High Risked Accounts Ann Butterfly Trust (1 ) and Neptune, LLC ( under the SOUTHERN FINANCIAL RELATIONSHIP (Il Butterfly is a personal trust. For Neptune, any reason not to just add Rich as an RP? We've already KYC'd him for other accounts, correct? Will call you at 9 or so. Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Securities offered through Deutsche Bank Securities Inc. On Aug 31, 2018, at 7:21 AM, Vijay-A Sawant > wrote: Hi Stewart, Please see pending confirmations required in KYC Case#01977698 for Butterfly & Neptune, below — • 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 CDD form ONLY in case of Corporate Trusts. • 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 Case#01790739. Kindly advise on the above so we can complete this case and submit to AML for approval, thanks. Kind Regards, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089971 CONFIDENTIAL SDNY_GM_00236155 EFTA01387413