EFTA Document EFTA01373340

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Unknown

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Dept. of Justice

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sd-10-EFTA01373340

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Integrity

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EFTA Disclosure

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New York. NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Alka Babu Sent: Thursday, November 01, 2018 10:32 AM To: Bradley Gillin Cc: Vinita Advani Vijay-A Sawant ; Richard larossi Subject: RE: Assistance required in resolving points - KYC Classification: For internal use only Hi Brad, Stewart Oldfield Good Morning, a kind reminder on the only pending information needed for this case to be re-submitted. c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also required for legal reps. - We need your assistance on the status of Lawrence Visoski. Reaching out to client. Will revert. Kind regards, Alka Babu 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 - 4-00063, India From: Bradley Gillin Sent: Wednesday, October 24, 2018 11:16 PM To: Alka Babu Cc: Vinita Advani O; Vijay-A Sawant <stewart.oldfield@db.com>; Richard larossi <richard.iarossi@db.com> Subject: RE: Assistance required in resolving points - KYC I] Classification: For Internal use only Alka, Stewart Oldfield CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067463 CONFIDENTIAL SDNY_GM_00213647 EFTA01373340

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Emailrichard.iarossi@db.com

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Related Documents (6)

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For Plan D LLC covered in KYC 01977695, following is the only pending rejection item which requires resolution — c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also requi

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Subject: FW: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Stewart Oldfield ‹ > Date: Mon, 29 Oct 2018 18:00:17 -0400 To: Richard Iarossi Cc: Bradley Gillin Rich, Let's get to the point where you can lead a call with Rich Kahn tmw to discuss the outstanding issues. When you get a sense of when you can do the call, let me know and I will step away from the training to do it. Thanks From: Vijay-A Sawant Sent: Friday, October 26, 2018 5:07 AM To:

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Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Vijay-A Sawant Date: Fri, 26 Oct 2018 05:06:47 -0400 To: Stewart Oldfield Cc: Bradley Gillin Richard Iarossi Alka Babu < Mayur Rathod < Vinita Advani Hi Stewart, For Hyperion LLC and .7 Epstein Virgin Islands Foundation Inc in rejected KYC 01977699, we require the following items mentioned in red fonts — (3) Please provide evidence of or a case comment regarding confirmation from the c

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EFTA Document EFTA01431279

Subject: RE: Assistance required in resolving points - KYC #01977695 [I] From: Bradley Gillin Date: Wed, 24 Oct 2018 13:46:24 -0400 To: Alka Babu <fl. Cc: Vinita Advani < Vijay-A Sawant Stewart Oldfield Richard Iarossi <richard.iarossi@db.com> Classification: For internal use only Alka, See below in blue. We had a rejection for the captioned KYC for accounts The 2007 Jeffrey E. Epstein Insurance Trust #3, The Haze Trust, NES, LLC, Plan D, LLC We need your inputs on the points highli

Dept. of JusticeOtherUnknown

EFTA Document EFTA01436115

Subject: RE: Assistance re uired in resolving points - KYC #01977695 [I] From: Bradley Gillin Date: Thu, 01 Nov 2018 11:09:40 -0400 To: Alka Babu Cc: Vinita Advani < Vijay-A Sawant Stewart Oldfield Richard Iarossi Classification: For internal use only The case referenced was approved. I believe you are talking about another entity. Regards, Brad {cid:image001.gif@OlD471D3.6116F680} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York,

Dept. of JusticeOtherUnknown

EFTA Document EFTA01427869

Subject: FW: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Stewart Oldfield ‹ > Date: Fri, 26 Oct 2018 11:18:58 -0400 To: Bradley Gillin Richard Iarossi We got the limited trading authority doc already, right? Any other of these look like they're already taken care of? From: Vijay-A Sawant Sent: Friday, October 26, 2018 5:07 AM To: Stewart Oldfield ‹ > Cc: Bradley Gillin <bradley.gillin@db.com>; Richard Iarossi <richard.iarossi@db.com>; Alka Bab

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