EFTA01381141.pdf

Regards. Brad Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New Y NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Wednesday, August 01, 2018 4:41 AM To: Bradley Gillin Cc: Stewart Oldfiei Subject: RE: Assistance Required in solving rejection points on KYC Case#0 1946825 [II Importance: High Good Morning Brad/Stewan, I have received following 'new' rejection points on this case, as follows, see me comments in red below — Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. — Could you provide latest (July 18) bank statement for this entity? This should resolve this request. B — Nature of Business: What do they do with the artwork? Do they purchase it and re-sell it? Does the trust only hold artwork as assets? — As per constitutional does. the purpose of Prytanee LLC is for engaging in the acquisition. ownership & management of artwork for investment purposes. I had already updated this but it seems they want more info on re-selling part. Could you advise on this please? C - Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is none. I recommend "refreshing" the approval with current senior management. The current c-mail approval does not address what exactly is being discussed and approved. - Kindly provide this please. D - The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. — For Caroline. I have now updated Sotheby's Switzerland address & already updated that she was appointed there in 2012. Please advise if you have any additional points to add? E — The "How Was the Client(s) Introduced? How long has the RM personally known the client?" field talks about Zorro Management. Please amend. - Updated as appropriate. F - New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. -•• Please advise on the follow ing additional poinic for this case, as appropriate: SOoet0 Risk Factors IM, t4 accd.do hen a Nedvslo Holuoktosses blew wooed dirtaanroolluak *cooked P Own oordoodun (Ord ddl up o eon °condos condo" ocrcate do throw, Mawr on co. of • ocritial ittl:01•01ratalirms Ulna is eiml;else AS MOW. Owns AVOW. fuldxalic. OCICTO..40:0OAd. t.; I look forward to your response at the earliest in resolving these rejections. thanks. Kind Regards. Vijin le ivant CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0079914 CONFIDENTIAL SDNY GM_00226098 EFTA01381141