EFTA Document EFTA01418043

Subject: FW: EDD package for the RID : Southern Financial LLC [I] From: Wayne Salit <MI > Date: Tue, 23 Dec 2014 08:52:32 -0500 To: John Juul Classification: For internal use only Party name : John — Here is the Director-level business person who is sponsoring this account: Courteney B. Fornal Based on this information, who would be the right senior business person to escalate this matter? Note: The Corporate Directory does not list any manager or corporate hierarchy for Ms. Fornal. Kind Regards, Wayne Salit From: Carlos-A Garcia Sent: Tuesday, December 23, 2014 8:15 AM To: Wayne Salit Cc: Carlos-A Garcia; Dmitri Saks Subject: FW: EDD package for the RID : Southern Financial LLC [I] Party name : EFTA01418043 Classification: For internal use only Hello Wayne, From the information listed below, it appears that Courteney B Formal is the head for this request. Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject: Fw: EDD package for the RID : Southern Financial LLC [I] Classification: For internal use only Forwarded by Carlos-A Garcia/I {cid:image001.png@OlD01E88.865A3A30} From: {cid:image002.png@OlD01E88.865A3A30} Courteney B Fornal/ fcid:image001.png@OlD01E88.865A3A301 To: {cid:image002.png@OlD01E88.865A3A30} Anastasia Pringle/-, US-CB S-AML/ Party name : on 12/23/2014 08:12 AM , Mark Whyman/III- EFTA01418044 {cid:image001.png@01D01E88.865A3A30} Cc: {cid:image002.png@01D01E88.865A3A30 Ged Account-Opening/ {cid:image001.png@01D01E88.865A3A30} Date: {cid:image002.png@01D01E88.865A3A30} 12/22/2014 05:42 PM {cid:image001.png@01D01E88.865A3A30} Subject: {cid:image002.png@01D01E88.865A3A30} Re: EDD package for the RID : Financial LLC [I] Classification: For Internal Use Only , Manikandan Muralidharan/III- Anastasia, that would be me. What is the issue? https://ederivatives.db.com/static/disclaimer.html From: Anastasia Pringle Sent: Monday, December 22, 2014 05:23 PM To: US-CB S-AML; Courteney B Fornal; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : Southern Financial LLC [I] Classification: For internal use only Courteney/Mark, Party name : Southern Party name : EFTA01418045 Who is the head of the business for this request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: Ged.account-opening@db.com fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Monday, December 22, 2014 5:18 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : Southern Financial LLC [I] Classification: For internal use only Hello Anastasia, Party name : Could you please help to identify the Head of the Business through which this client is being onboarded. AML Compliance needs to have a discussion prior to approving this account. Thank you. {cid:image003.gif@OlD01E0B.CE2B92A0} US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:image004.gif@OlD01E0B.CE2B92A0} EFTA01418046 {Inactive hide details for Anastasia Pringle---12/22/2014 10:43:18 AM--- Classification: For internal use only Good morning,}Anastasia Pringle---12/22/2014 10:43:18 AM---Classification: For internal use only Good morning, {cid:image014.png@OlD01E0C.039E9630} From: {cid:image015.png@OlD01E0C.039E9630} Anastasia Pringle/ {cid:image014.png@OlD01E0C.039E9630} To: {cid:image015.pn @OlD01E0C.039E9630} US-CB S-AML/ {cid:image014.png@OlD01E0C.039E9630} Cc: {cid:image015.png@OlD01E0C.039E9630 Ged Account-Opening/ {cid:image014.png@OlD01E0C.039E9630} Date: {cid:image015.png@OlD01E0C.039E9630} 12/22/2014 10:43 AM {cid:image014.png@OlD01E0C.039E9630} Subject: {cid:image015.png@OlD01E0C.039E9630 RE: EDD package for the RID : Financial LLC [I] , Manikandan Muralidharan/III- Party name : Southern EFTA01418047 Classification: For internal use only Good morning, Do we have an update on the below request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: Ged.account-opening@db.com fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Friday, December 19, 2014 3:03 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : Southern Financial LLC [I] Classification: For internal use only Anastasia, The case has been submitted to the next level of approval. Thank you, Party name : EFTA01418048 {cid:image003.gif@OlD01DD4.0DBF56A0} US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:image004.gif@OlD01DD4.0DBF56A0} {Inactive hide details for Anastasia Pringle---12/19/2014 02:43:57 PM--- Classification: For internal use only Hi Dmitri,}Anastasia Pringle---12/19/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri, fcid:image006.png@OlD01DD4.0DBF56A01 From: {cid:image007.png@OlD01DD4.0DBF56A0} Anastasia Pringle/ fcid:image006.png@OlD01DD4.0DBF56A01 To: {cid:image007.png@OlD01DD4.0DBF56A0} Manikandan Muralidharan/ {cid:image006.png@OlD01DD4.0DBF56A0} Cc: {cid:image007.png@OlD01DD4.0DBF56A0} Ged Account-Opening/ fcid:image006.png@OlD01DD4.0DBF56A01 Date: {cid:image007.png@OlD01DD4.0DBF56A0} 12/19/2014 02:43 PM {cid:image006.png@OlD01DD4.0DBF56A0} , Dmitri Saks/ , US-CB S-AML/ Subject: EFTA01418049 {cid:image007.png@01D01DD4.0DBF56A0} RE: EDD package for the RID : Financial LLC [I] Party name : Southern Classification: For internal use only Hi Dmitri, Can you please advise on the current status? Thanks fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: Ged.account-opening@db.com {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Manikandan Muralidharan Sent: Friday, December 19, 2014 10:32 AM To: Dmitri Saks Cc: Ged Account-Opening; US-CB S-AML; Anastasia Prin le Subject: Fw: EDD package for the RID : Southern Financial LLC [I] Party name : Classification: For internal use only EFTA01418050 Hi Dmitri, We have got the alert review for the RDC alert received on Richard Kahn. During the alert review, we have found that these alerts are false positive. Please refer to the below mail with regard to Alert review for your reference. Please let us know, if anything is required from our end. Thanks and Regards, Manikandan Muralidharan {cid:image001.gif@OlD01B9A.2E284910} Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Tel. Mobile Email Backup details - Ganesh Balaji ( Bharath-Kumar MS For Escalations please contact Level 1 - Karthik ( Level 2 - Balaji ( {cid:image002.gif@OlD01B9A.2E284910} Forwarded by Manikandan Muralidharan/ on 12/19/2014 08:53 PM {cid:image003.png@OlD01B9A.2E284910} From: {cid:image004.pn @OlD01B9A.2E284910} Syed-Anzar Ahmed/ {cid:image003.png@OlD01B9A.2E284910} EFTA01418051 To: {cid:image004.png@OlD0169A.2E284910 Manikandan Muralidharan/ {cid:image003.png@OlD0169A.2E284910} Cc: {cid:image004. n @OlD0169A.2E284910} CAGNY NCA/ , Suresh-x Salimath/ Anantesh Anand/ {cid:image003.png@OlD0169A.2E284910} Date: {cid:image004.png@OlD0169A.2E284910} 12/19/2014 08:42 PM {cid:image003.png@OlD0169A.2E284910} Subject: {cid:image004.png@OlD0169A.2E284910} Re: Fw: EDD package for the RID : Party name : Southern Financial LLC - RDC alert Review - Very Urgent [I] Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED EFTA01418052 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is Wells Fargo Employee and was fined for unregistered activity. http://www.bizjournals.com/southflorida/search?- q=9622Jeffrey+Kahn9622&title=963Fiframe963Dtrue&width=959625&height=959625+title963- D+title963D+title963D+title963D9620title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. https://www.google.co.in/url?url=https://www.nyse.com/pdfs/12- ARCA-3.pdf&rct=j&frm=l&q=&esrc=s&sa=U&ei=MD6UVIedDsWPuAT924DoCp&ved=0CBMQFjA- A&usg=AFQjCNH6TerGChaK_BRHqY5DUNOCAX7ziw Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, fcid:image001.gif@OlD01B9A.2E2849101 Syed-Anzar Ahmed Process Supervisor I COB - RDC LOOKBACK TEAM DBOI Global Services Private Limited Global Business Services VTP,Electronic City, Hosur Tel. Mobile +91 Email Road, 560100 Bangalore, India {cid:image002.gif@OlD01B9A.2E284910} {Inactive hide details for Manikandan Muralidharan---12/19/2014 08:23:07 EFTA01418053 PM---Classification: For internal use only Hi Team, Req}Manikandan Muralidharan---12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard K {cid:image003.png@OlD0169A.2E284910} From: {cid:image004.png@OlD0169A.2E284910} Manikandan Muralidharan/ {cid:image003.png@OlD0169A.2E284910} To: {cid:image004. n @OlD0169A.2E284910} CAGNY NCA/ {cid:image003.png@OlD0169A.2E284910} Cc: {cid:image004.pn @OlD0169A.2E284910} Syed-Anzar Ahmed/ , Suresh-x Salimath/ , Jofin Varghese/ , Sagar Prakash/ Kameshwaran Ns/ , Anantesh Anand/ {cid:image003.png@OlD0169A.2E284910} Date: {cid:image004.png@OlD0169A.2E284910} 12/19/2014 08:23 PM {cid:image003.png@OlD0169A.2E284910} Subject: {cid:image004.png@OlD0169A.2E284910} Fw: EDD package for the RID : Financial LLC - RDC alert Review - Very Urgent [I] Party name : Southern EFTA01418054 Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard Kahn, one of the board of director of Parent entity, Southern Trust Company Inc. (See attached file: Additional AML checks on Parent entity, board of director.pdf) Additional document (See attached file: 5 - SFLLC UBO.PDF) Thanks and Regards, Manikandan Muralidharan {cid:image001.gif@OlD01B9A.2E284910} Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Tel. Mobile Email Backup details - Ganesh Balaji ( Bharath-Kumar MS For Escalations please contact Level 1 - Karthik ( Level 2 - Balaji ( {cid:image002.gif@OlD01B9A.2E284910} Forwarded by Manikandan Muralidharan/ on 12/19/2014 08:13 PM EFTA01418055 {cid:image003.png@OlD0189A.2E284910} From: {cid:image004.png 01D0189A.2E284910} Anastasia Pringle/ {cid:image003. To: {cid:image004 Dmitri Saks/ {cid:image003. Cc: png@OlD0189A.2E284910} Iiiiiiii1D0189A.2E284910} png@OlD0189A.2E2849101 {cid:image004.png@OlD0189A.2E284910} Ged Account-Opening/ Manikandan Muralidharan/ {cid:image003.png@OlD0189A.2E284910} Date: {cid:image004.png@OlD0189A.2E284910} 12/19/2014 08:01 PM {cid:image003.png@OlD0189A.2E284910} Subject: {cid:image004.png@OlD0189A.2E284910} RE: EDD package for the RID : Financial LLC [I] , US-CB S-AML/ Party name : Southern EFTA01418056 Classification: For internal use only Hello Dmitri, Please see the background checks for the additional 2 CP's. Please give an update to this request as soon as you can. Thank you fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: Ged.account-opening@db.com {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Dmitri Saks Sent: Thursday, December 18, 2014 1:23 PM To: Anastasia Pringle Cc: Ged Account-Opening; US-CB S-AML; Manikandan Muralidharan Subject: RE: EDD package for the RID : Southern Financial LLC [I] Classification: For internal use only Anastasia, Party name : Thank you, this is helpful. However, a proof of appointment of the Board of Southern Trust Company, Inc. (Jeffrey Epstein, Darren K. Indyke, Richard Kahn) is still required. This is because they signed the UBO confirmation document stating that Mr. Epstein is the sole shareholder of Southern Trust Company, Inc. Also, Darren K. Indyke and Richard Kahn need to be identified as control persons in addition to Jeffrey Epstein, and the PCR/RDC checks for them need to be run and documented. This is because they control Southern Trust EFTA01418057 Company, Inc. which is the sole member of Southern Financial LLC. Thanks and regards, Dmitri fcid:image001.png@OlD01AC5.CCEC44A01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: (cid:image002.gif@O1CFDCA6.64828930} From: Anastasia Pringle Sent: Thursday, December 18, 2014 12:24 PM To: Manikandan Muralidharan; Dmitri Saks Cc: Ged Account-Opening Subject: RE: EDD package for the RID : Southern Financial LLC [I] Importance: High Classification: For internal use only Mani/Dmitri Party name : Please see the attached documents. Please advise if there is anything additional needed. Hi Anastasia, Per your request, please find attached the following: 1) Southern Trust: All incorporation documents 2) Southern Financial: Operating Agreement and incorporation documents In each document package, please disregard the DB PWM brokerage account documents, as they are not relevant. Please reach out with any further questions. Thank you. Thanks EFTA01418058 {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: Ged.account-opening@db.com fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Manikandan Muralidharan Sent: Wednesday, December 17, 2014 2:36 PM To: Anastasia Pringle Cc: Ged Account-Opening Subject: Fw: EDD package for the RID : Southern Financial LLC [I] Classification: For internal use only Hi Anastasia, Party name : As advised by AML Compliance in the below mail, we would be requiring a revised ownership confirmation to proceed further with the adoption of the captioned entity, Southern Financial LLC. Request you to help us obtain the same. Thanks and Regards, Manikandan Muralidharan {cid:image001.gif@OlD01ABD.8637A840} Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Ban alore, India Tel. Mobile +91 EFTA01418059 Email Backup details - Ganesh Balaji ( Bharath-Kumar MS For Escalations please contact Level 1 - Karthik ( Level 2 - Balaji {cid:image002.gif@OlD01ABD.8637A840} Forwarded by Manikandan Muralidharan/ on 12/18/2014 01:00 AM {cid:image003.png@OlD01ABD.8637A840} From: {cid:image004. n @OlD01ABD.8637A840} Dmitri Saks/ {cid:image003.png@OlD01ABD.8637A840} To: {cid:image004.pn @OlD01ABD.8637A840} Jofin Varghese/ {cid:image003.png@OlD01ABD.8637A840} Cc: {cid:image004.pn @OlD01ABD.8637A840} CAGNY NCA/ , Manikandan Muralidharan/ Sujith Shetty/ , US-CB S-AML/ Anastasia Pringle/ , Kumud Sharma/ {cid:image003.png@OlD01ABD.8637A840} Date: {cid:image004.png@OlD01ABD.8637A840} 12/17/2014 10:08 PM {cid:image003.png@OlD01ABD.8637A840} EFTA01418060 Subject: {cid:image004.png@OlD01ABD.8637A840 RE: EDD package for the RID : Financial LLC [I] Classification: For internal use only Jofin, Party name : Southern Please note that the provided Board resolution is the document of Southern Trust Company, Inc., and not Southern Financial LLC. Therefore, the following key statements made within the document will need to be validated: "Epstein is also the sole shareholder of Corporation" (i.e., Southern Trust Company, Inc.), and "the Corporation is the sole member of Southern Financial LLC" In order to validate the above, please provide the following supporting documentation: For Southern Trust Company, Inc.: proof of incorporation/formation and proof of appointment of the board of directors. You will also need to identify the board members as control persons for this account since they would be controlling Southern Financial LLC through Southern Trust Company, Inc. PCR/RDC searches would also be required. For Southern Financial LLC: Operating Agreement or other valid EFTA01418061 proof that Southern Trust Company, Inc. is the sole member of Southern Financial LLC. Alternatively, as I stated before, you can provide a letter/email from an internal or external legal counsel stating that Mr. Epstein is the sole UBO of Southern Financial LLC. Thanks and regards, Dmitri {cid:image006.png@OlD019ED.471ED190} Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: fcid:image002.gif@O1CFDCA6.64B2B9301 From: Jofin Varghese Sent: Wednesday, December 17, 2014 10:36 AM To: Dmitri Saks Cc: CAGNY NCA; Manikandan Muralidharan; Sujith Shetty; US-CB S-AML; Anastasia Pringle; Kumud Sharma Subject: RE: EDD package for the RID : Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The UBO is the sole controlling person of our entity however the Board of Directors who executed the operating agreement are the part of the Parent company. We have Considered the confirmation from the BOD of the parent EFTA01418062 entity which is an independent execution. While the procedure indicated to accept the UBO confirmation provided by the board of director either through an client email or Letter head or formal legal agreements. Kindly provide your view on the same Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile Email Escalation Point: Back {Inactive hide details for Dmitri Saks---12/17/2014 08:30:54 PM--- Classification: For internal use only Hi Jofin,}Dmitri Saks---12/17/2014 08:30:54 PM---Classification: For internal use only Hi {cid:image007.png@OlD019ED.2DECC6A0} From: {cid:image016. n @OlD019ED.2DECC6A0} Dmitri Saks/ fcid:image007.png@OlD019ED.2DECC6A01 To: {cid:image016. n @OlD019ED.2DECC6A0} Jofin Varghese/ {cid:image007.png@OlD019ED.2DECC6A0} Cc: {cid:image016. CAGNY NCA/ Sujith She tty/ t n @OlD019ED.2DECC6A0} , Manikandan Muralidharan/ , US-CB S-AML/ EFTA01418063 {cid:image007.png@OlD019ED.2DECC6A0} Date: {cid:image016.png@OlD019ED.2DECC6A0} 12/17/2014 08:30 PM {cid:image007.png@OlD019ED.2DECC6A0} Subject: {cid:image016.png@OlD019ED.2DECC6A0 RE: EDD package for the RID : Financial LLC [I] Classification: For internal use only Hi Jofin, Party name : Southern As stated in the attached, Jeffrey Epstein is the only control person, hence the "conflict of interest supposition" still exists. Besides, the supplied Board of Directors paper is neither notarized/witnessed/certified nor represents a formal filing document. In other words, it is not a strong legal proof. In such cases we recommend requesting a letter/email from an internal or external legal counsel. Thanks and regards, Dmitri {cid:image002.png@OlD019E0.5242C2A0} EFTA01418064 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: {cid:image002.gif@O1CFDCA6.64B2B930} From: Jofin Varghese Sent: Tuesday, December 16, 2014 6:30 PM To: US-CB S-AML Cc: CAGNY NCA; Dmitri Saks; Manikandan Muralidharan; Sujith Shetty; US-CB 5- AML Subject: Re: EDD package for the RID : Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The Document is signed by the UBO himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the UBO verification confirmed by UBO himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the UBO document. Kindly let us know if you want us to go back {cid:image004.gif@OlD019D9.DCF81D70} {cid:image005.gif@OlD019D9.DCF81D70} Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile Email EFTA01418065 Escalation Point: Back {Inactive hide details for US-CB S-AML---12/17/2014 04:31:50 AM--- Classification: For internal use only Hello All, Please note t}US-CB S- AML---12/17/2014 04:31:50 AM---Classification: For internal use only Hello All, Please note that the UBO verification document is s {cid:image008.png@OlD019D9.DCF81D70} From: {cid:image009. n 01D019D9.DCF81D70} US-CB S-AML/ {cid:image008.png@OlD019D9.DCF81D70} To: {cid:image009.pn @OlD019D9.DCF81D70} Sujith Shetty/ {cid:image008.png@OlD019D9.DCF81D70} Cc: {cid:image009. n 01D019D9.DCF81D70} CAGNY NCA/ , Jofin Varghese/ Manikandan Muralidharan/ , US-CB S-AML/ {cid:image008.png@OlD019D9.DCF81D70} Date: {cid:image009.png@OlD019D9.DCF81D70} 12/17/2014 04:31 AM {cid:image008.png@OlD019D9.DCF81D70} EFTA01418066 Subject: {cid:image009.png@01D019D9.DCF81D70} Re: EDD package for the RID : Financial LLC [I] Classification: For internal use only Hello All, Party name : Southern Please note that the UBO verification document is signed by the alleged UBO himself and may not be accepted as such. Please follow the CB&S U.S. AML Due Diligence Requirements to verify ownership: Obtain information on the organizational structure of the customer to the natural person level (direct or indirect UBOs of 25% or greater). Such information may be obtained through one or more of the following methods: • Organizational Chart OR • Letter/e-mail from Internal Counsel, Compliance Officer or Senior Manager (e.g., Control person) OR • Letter/e-mail from External Counsel OR • Use of publicly available information (e.g., trusted website) OR • Use of documentation (e.g., Registry Filing, legal document, etc.) Should you have any questions, please contact us. Thank you, {cid:image010.gif@01D019D9.DCF81D70} US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:image0ll.gif@01D019D9.DCF81D70} EFTA01418067 {Inactive hide details for Sujith Shetty---12/15/2014 03:49:38 PM--- Classification: For internal use only Hi Team, Attached bel}Sujith Shetty---12/15/2014 03:49:38 PM---Classification: For internal use only Hi Team, Attached below is the EDD Package for RID - ONB - 1 {cid:image008.png@OlD019D9.DCF81D70} From: {cid:image009.pn @OlD019D9.DCF81D70} Sujith Shetty/ {cid:image008.png@OlD019D9.DCF81D70} To: {cid:image009. n @OlD019D9.DCF81D70} US-CB S-AML/ {cid:image008.png@OlD019D9.DCF81D70} Cc: {cid:image009.png@OlD019D9.DCF81D70} Manikandan Muralidharan/ CAGNY NCA/ {cid:image008.png@OlD019D9.DCF81D70} Date: {cid:image009.png@OlD019D9.DCF81D70} 12/15/2014 03:49 PM {cid:image008.png@OlD019D9.DCF81D70} , Jofin Varghese/ EFTA01418068 Subject: {cid:image009.png@e1D019D9.DCF81D70} EDD package for the RID : Financial LLC [I] Classification: For internal use only Hi Team, Party name : Southern Attached below is the EDD Package for RID - Southern Financial LLC. Captioned request is principal party set up and it is a Private Investment Vehicle.Request is raised for DBSI- Equity - custody/- Margin (Type 1). We are escalating the request as Entity is Private Investment Vehicle. Kameshwaran has reviewed the alerts and the same has been attached for your reference. "..lofin reviewed and QA'd this EDD escalation package and confirms that all appropriate documentation is being escalated." The request has been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf" deleted by Dmitri Saks/III- ] CIP Document [attachment "1 - CIP Doc.pdf" deleted by Dmitri Saks/ Physical Email [attachment "CIP e-mail.pdf" deleted by Dmitri Saks/ CP Proof [attachment "CP Proof.pdf" deleted by Dmitri Saks/ EFTA01418069 UBO Proof [attachment "UBO.PDF" deleted by Dmitri Saks/ ID Proof [attachment "5 - UBO - ID.pdf" deleted by Dmitri Saks/ AML Checks on Entity, CP and UBO [attachment "3 - AML Checks.pdf" deleted by Dmitri Saks/ Internal Review [attachment "Alert Review.pdf" deleted by Dmitri Saks/ Confirmation on Private investment vehicle [attachment "Confirmation.pdf" deleted by Dmitri Saks/ Kind regards, Sujith Shetty fcid:image012.gif@OlD019D9.DCF81D701 Sujith Shetty DBOI Global Services Private Limited Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Mobile +0 Email fcid:image003.gif@OlD019D9.DCF81D701 [attachment "CP Proof.pdf" deleted by Jofin Varghese/ ] (See attached file: [Untitled].pdf) EFTA01418070