EFTA01375680

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DOJ Data Set 10

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efta-01375680

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EFTA Disclosure

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From: Vijay-A Sawant Sent: 8/24/2018 5:08:31 AM To: Stewart 0ldfiel I; Richard larossi CC: Mayur Rathod • Bradley Subject: RE: 2018 Periodic Review of High Risked Accounts GCISS, Butterfly Trust (GCIStta and Neptune, LLC (GCISMIll under the SOUTHERN FINANCIAL RELATIONSHIP Attachments: Southern Financial_No Material Changes Confirmation.pdf Importance: High Hello Richard, We have received material change confirmation from Brad on below accounts as per attached email. So following are list of items pending on these accounts - • 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. We will proceed to the next stages upon receipt of your confirmation of the above queries, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400O63, India Tea Mobt From: Vijay-A Sawant Sent: Tuesday, July 31, 2018 6:31 PM To: Bradley Gillin iiimumml>; Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts-(GCIS , Butterfly Trust (GCISS and Neptune, LLC (GCIS# under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. Upon review of the dots available in the repositories, we have completed the attached checklist, main RP's also listed below for reference — CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071238 CONFIDENTIAL SDNY_GM_00217422 EFTA01375680

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Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01415057

Subject: FW: Your KYC has been rejected - Case #: From: Vijay-A Sawant Date: Wed, 25 Jul 2018 06:15:23 -0400 To: Kshitij Golani Cc: Bradley Gillin Stewart Oldfield Hi Kshitij, I have resolved all points below and re-submitting this case to you for your approval. Let me know if any queries, I look forward to your feedback, thanks. Kind Regards, =C7BBF707DF9B04F18f9e8a93df9386909@db.coml Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group We

Dept. of JusticeOtherUnknown

EFTA Document EFTA01436050

Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Stewart Oldfield e > Date: Thu, 06 Sep 2018 13:51:24 -0400 To: Vijay-A Sawant Let's chat tmw. Thanks From: Vijay-A Sawant Sent: Thursday, September 06, 2018 12:32 PM To: Stewart Oldfield e > Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] Hi Stew, I called but you were busy. Anyways I am heading home for the day. You can email me your concerns or we can t

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Dept. of JusticeOtherUnknown

EFTA Document EFTA01427250

Subject: RE: Euros from acc xxxx9691 [I] From: Nicole Perskawiec <nicole.perskawiec@db.com> Date: Tue, 19 Jun 2018 11:13:57 -0400 To: Bradley Gillin <bradley.gillin@db.com> Cc: Stewart Oldfield <ME >, Firdaus Madiar <firdaus.madiar@db.com>, Rodney Macelus <rodney.macelus@db.com> Classification: For internal use only Hi Brad, Please advise if you have confirmed with the client and have processed the following check in the amount of $7,388 for 6,200 EUR at the rate of 1.19. Kind regards

Dept. of JusticeOtherUnknown

EFTA Document EFTA01370533

From: Vijay-A Sawant Sent: 7/25/2018 6:15:23 AM To: Kshitij Golani CC: Bradley Gillin ; Stewart Oldfield Subject: FW: Your KYC has been rejected - Case #: 01946825 Attachments: Constitutional docs, COI & IRS Letter.pdf; Corp Resolution.pdf Importance: High Hi Kshitij, I have resolved all points below and re-submitting this case to you for your approval. Let me know if any queries, I look forward to your feedback, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deut

Dept. of JusticeOtherUnknown

EFTA Document EFTA01413612

Subject: RE: Euro purchase JE acc xxx 9691 [I] From: Nicole Perskawiec Date: Wed, 10 Apr 2019 10:36:36 -0400 To: Stewart Oldfield Cc: Bradley Gillin Daphne Cales < Firdaus Madiar Brigid Macias Classification: For internal use only Stew, Due to us using a third party vendor, they require Jeffrey Epstein's ID. We are aware, Darren Indyke is an authorized agent on the account. Please see below, for a list of currency orders we have done for Epstein. Buy & Sale of Foreign Currency Date

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DOJ Data Set 10OtherUnknown

EFTA01388769

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