EFTA Document EFTA01388971

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Dept. of Justice

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sd-10-EFTA01388971

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From: Vijay-A Sawant Sent: 8/24/2018 6:03:21 AM To: Richard larossi ; Stewart Oldfield CC: Bradley Gillin ; Terri Sohrab ; Mayur Rathod Subject: Re: 2018 Periodic Review of High Risked Accounts J. Epstein Virgin Islands Foundation, Inc (GCISI & Hyperion Air, LLC (GCISIM) under the SOUTHERN FINANCIAL RELATIONSHIP Attachments: Southern Financial_No Material Changes Confirmation.pdf Importance: High Hi Richard/Stewart, We have already received no material change confirmation from Brad as per attached email on the accounts listed in the subject line, upon which we have launched KYC case# for their remediation. After this confirmation, the following items are required for this case to be completed successfully - • For J. Epstein Virgin Islands Foundation, Inc - We found the IRS letter which confirms that this is a 501 (c ) (3) entity but we are unable to obtain iSoSe or screenshot from the IRS website. This could mean that this entity is no longer tax exempt and/or active. Could you provide the 'So5' from IRS website or advise on this please? • Hyperion Air, LLC — SOS from USVI website or COGS dated within 6 months Above items should clear this case for approval submission, so kindly provide accordingly, 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 - 400063, India Tel, Mobile Thanks & Regards Mayur Rathod KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Floor 1, Bl, DB Centre Mumbai Nirlon Knowled e Park Western Express Highway, Goregaon East, Mumbai 400063, India Tel.: Emai From: Vijay-A Sawant Sent: Monday, July 30, 2018 4:20 PM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0093038 CONFIDENTIAL SDNY_GM_00239222 EFTA01388971

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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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vijay-a.sawant@db.com Subject: RE: Assistance required in resolving Rejection Points - KYC 01977695 [I] From: Vijay-A Sawant Date: Wed, 17 Oct 20 To: Bradley Gillin < Stewart Oldfield Cc: Richard Iaros Mayur Rathod Hello Brad/Stewart, Many thanks for all the docs. We have re-submitted this rejected KYC (01977695) back to AML for final approval. Kind Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited

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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

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