EFTA01381385.pdf

From: Stewart Oldfield Sent: 10/26/2018 11:18:58 AM To: Bradley Gillin I-I; Richard larossi Subject: FW: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High We got the limited trading authority doc already, right? Any other of these look like they're already taken care of? From: Vijay-A Sawant Sent: Friday, October 26, 2018 5:07 AM To: Stewart Oldfield Cc: Bradley Gillin ; Richard larossi Alka Babu Mayur Rathod ; Vinita Advani Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Stewart, For Hyperion LLC and.' Epstein Virgin Islands Foundation Inc in rejected KYC 01977699, we require the following items mentioned in red fonts — (3) 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.) — No material confirmation email was attached to the KYC but will not suffice as per AFC. They need evidence of client (person) & date +confirming no material changes. (4) Operating Agreement for Hyperion Air LLC indicates the company is manager-managed and was Lawrence Visoski. Is he still Please provide evidence of the current management for this entity. — Please provide evidence confirming if Lawrence Visoski is still at Hyperion Air LLC. We have re-checked the repositories and didn't find anything for this. (6) Please attach evidence of signing authority (Corporate authorization) for the brokerage account of J. Epstein Virgin Islands Foundation In., granting signing auth for Erika Kellerhals. — Will need DB Corporate Resolution for this brokerage account! (7) Per J. Epstein Virgin Islands Foundation Inc brokerage account documents, Limited Trading Authority granted to Paul Barrett. Please add as party to the KYC with all appropriate documentation and research. Please help in getting Limited Trading Authority document for Paul Barrett for this account. For Mort Inc covered in rejected KYC Casea, the following is the only pending rejection item - 1. In addition to the provided source of wealth information, please provide info and narrative as to the source of funds that will be deposited into the account. — Please provide info for following blank fields, as appropriate. For Plan D LLC covered in KYC following is the only pending rejection item which requires resolution — c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified ash. Is he still of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0080328 CONFIDENTIAL SDNY_GM_00226512 EFTA01381385