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EFTA Document EFTA01372550EFTA Document EFTA01372552
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sd-10-EFTA01372551Dept. of JusticeOther

EFTA Document EFTA01372551

345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Sep 4, 2018, at 9:44 AM, Vijay-A Sawant wrote: Hi Stewart, A kind reminder of the below rejection case. Note the only pending item for this case ) is as follows — C — Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is nom. I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what ex

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345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Sep 4, 2018, at 9:44 AM, Vijay-A Sawant wrote: Hi Stewart, A kind reminder of the below rejection case. Note the only pending item for this case ) is as follows — C — Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is nom. I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what ex

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345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Sep 4, 2018, at 9:44 AM, Vijay-A Sawant wrote: Hi Stewart, A kind reminder of the below rejection case. Note the only pending item for this case ) is as follows — C — Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is nom. I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what exactly is being discussed and approved. - Kindic provide this please. • Recent FAO appno al was obtained and attached. All alens have been cleared. What do they need here - an updated EsCo approval' Note we are looking for an 'updated' Exco approval, as requested by the AML team, thanks. <image001.gif> Vijay Sawant KYC Case Representative Deutsche 08 Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Niacin Knowledge Park, Western Express Highway Gore on East Mumbai - 400063, India From: Vijay-A Sawant Sent: Friday, August 10, 2018 10:57 AM To: Bradley Gillin Cc: Stewart Oldfield < Subject: RE: Assistance Required in solving rejection points on KYC Casea Importance: High Hi Brad, A kind reminder of the below 'updated' Exco approval request for acct Prytanee LLC under the SOUTHERN FINANCIAL RELATIONSHIP for KYC Case# Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche as Centre Private Limited - Deutsche Bank Group Wealth Management CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066288 CONFIDENTIAL SDNY_GM_00212472 EFTA01372551

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Subject: Your KYC has been rejected - Case #: 01946825 From: Vijay-A Sawant Date: Fri, 07 Sep 2018 10:10:02 -0400 To: Kshitij Golani Cc: Bradley Gillin Stewart Oldfield Hello Kshitij, I have worked on the below rejection points in above case, kindly refer to my comments in red below - Case #: 01946825 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee, LLC Customer Number: 00000550868 Reason for Rejection:7/31 A — Please provide a recent document that will serve as

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Subject: just tried you. I'm at my desk but have a 9am call From: Stewart Oldfield Date: Fri, 07 Sep 2018 08:41:41 -0400 To: Vijay-A Sawant From: Vijay-A Sawant Sent: Friday, September 07, 2018 8:18 AM To: Stewart Oldfield Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] Sure thing Stewart!! Feel free to call when you come in. I should be in the offices till 9:30am your time. Regards, {cid:1 =C7BBF707DF9804F18f9e8a93df9386909@db.com} Vijay Sawan

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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Vijay-A Sawant Date: Fri, 10 Aug 2018 01:27:16 -0400 To: Bradley Gillin Cc: Stewart Oldfield Hi Brad, A kind reminder of the below 'updated' Exco approval request for acct Prytanee LLC under the SOUTHERN FINANCIAL RELATIONSHIP for KYC Case#01946825. Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Ba

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From: Vijay-A Sawant Sent: 9/7/2018 10:10:02 AM To: Kshitij Golani CC: Bradley Gillin Stewart Oldfield Subject: Your KYC has been rejected - Case tf Importance: High Hello Kshitij, I have worked on the below rejection points in above case, kindly refer to my comments in red below - Case Si: Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee, LLC Customer Number: Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. T

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