EFTA Document EFTA01356549

From: Martin Zeman Sent: 10/2/2017 6:02:55 PM To: Kimberly Hart Subject: RE: Southern Financial LLC update [I) Classification: For IMemal use only Thank you, Kim. Martin From: Kimberly Hart Sent: Monday, October 02, 2017 4:53 PM To: Martin Zeman < >; Keith Buckholz < Cc: Stewart Oldfield < >; Xavier Avila < >; Daniel-E Kaiser < Subject: RE: Southern Financial LLC update [SC] Classification: Strictly Confidential Jeffrey Epstein has been a client since 2013 and we have a number of open active accounts for him and his related entities including Southern Financial LLC. At the time he was onboarded, the potential reputational risk concerns were escalated to regional management by Chip Packard, Head WM Americas, including John Caruso, Head AML Compliance Americas. Chip was given the go ahead to proceed "so long as nothing further is identified through KYC and AML client adoption". A number of KYC updates have been processed for Mr. Epstein since 2013 — the latest in August 2017. All the KYCs have been approved and all alerts have been cleared. If there are new concerns regarding the client, please let me know so I can escalate. If the concerns are regarding his previous convictions, I just want to confirm that they have been disclosed and cleared by AML Compliance. Regards, Kim Kimberly Hart Managing Director I Regional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas 60 Wall Street, 12th Floor, New York, NY 10005 Tel. Fax Mobil Emai Securities offered through Deutsche Bank Securities Inc. From: Martin Zeman Sent: Monday, October 02, 2017 11:22 AM To: Kimberly Hart CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042456 CONFIDENTIAL SDNY_GM_00188640 EFTA01356549