EFTA Document EFTA01398899

Subject: RE: MD Approval for ACUs for High Risk Clients [I] From: Andrew Gallivan < Date: Thu, 01 Dec 2016j illa To: Vaishali-P Mehta < Classification: For internal use only Well aren't I the negligent one. Sorry for not having addressed this last month. Approved From: Vaishali-P Mehta Sent: Thursday, December 01, 2016 9:36 AM To: Andrew Gallivan Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Hello Andrew, Could I please get one more approval? This is for last months ACUs. Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management EFTA01398899 From: Vaishali-P Mehta Sent: Wednesday, November 09, 2016 3:42 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Hello Andrew Could you please approve the below ACUs completed for High Risk Clients for this month? Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management From: Vaishali-P Mehta Sent: Wednesday, October 26, 2016 1:48 PM To: Andrew Gallivan EFTA01398900 Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Dear Andrew, As you know, our procedures require MDs to approve all ACUs completed for High Risk clients each month. Please review the below ACUs completed and approve them. Annual Client Update: ID GCIS Customer Number Customer Owner MD Customer Name Annual Client Update: Created Date A14. A15. Client Status Update Description A16. A17. 78144 00000520114 Douglas Robertson Andrew Gallivan Atlantix Investment LLC 10/12/2016 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. EFTA01398901 No changes yet. No No 78143 00000520113 Douglas Robertson Andrew Gallivan Millstein Atlantix LLC 10/12/2016 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. No changes yet. No No 77877 00000496285 Mark Gonzalez Andrew Gallivan 435 E 76 3D LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No EFTA01398902 77876 00000496286 Mark Gonzalez Andrew Gallivan 555 W 23 N4R LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. The property has been sold and the entity will be winding down. Yes No 77880 00000496287 Mark Gonzalez Andrew Gallivan 635 W 42 7E LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No 77879 00000496288 Mark Gonzalez Andrew Gallivan 67 Liberty PHB LLC EFTA01398903 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No 77704 00000486426 Stewart Oldfield Andrew Gallivan Butterfly Trust 9/29/2016 change in trustees No material change Yes No 77695 00000499760 Stewart Oldfield Andrew Gallivan Gratitude America 9/29/2016 no material change no material change Yes EFTA01398904 No 77697 00000487223 Stewart Oldfield Andrew Gallivan HBRK Associates, Inc 9/29/2016 No material change No material change Yes No 77698 00000487225 Stewart Oldfield Andrew Gallivan Hyperion Air, LLC 9/29/2016 no material change no material change Yes No 77699 00000487244 Stewart Oldfield EFTA01398905 Andrew Gallivan JEGE, Inc 9/29/2016 no material change no material change Yes No 77694 00000489505 Stewart Oldfield Andrew Gallivan 9/29/2016 no material change no material change Yes No 77701 00000487264 Stewart Oldfield Andrew Gallivan Neptune, LLC 9/29/2016 no material change no material change EFTA01398906 Yes No 77844 00000487265 Stewart Oldfield Andrew Gallivan NES, LLC 10/4/2016 No material change No material change Yes No 77703 00000487219 Stewart Oldfield Andrew Gallivan Plan D, LLC 9/29/2016 No material change No material change Yes No 77702 00000487199 EFTA01398907 Stewart Oldfield Andrew Gallivan The 2007 Jeffrey E. Epstein Insurance Trust #3 9/29/2016 No material change No material change Yes No 77842 00000487199 Stewart Oldfield Andrew Gallivan The 2007 Jeffrey E. Epstein Insurance Trust #3 10/4/2016 No material change No material change Yes No 77689 00000492732 Stewart Oldfield Andrew Gallivan Zorro Development Corp. 9/29/2016 EFTA01398908 no material change no material change Yes No 78200 00000496101 Thomas-B Mayer Andrew Gallivan Elmer Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments. No Changes. Yes No 78201 00000496099 Thomas-B Mayer Andrew Gallivan Josephine Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments No Changes Yes No EFTA01398909 78202 00000496097 Thomas-B Mayer Andrew Gallivan Paul Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments No Changes Yes No 78204 00000496140 Thomas-B Mayer Andrew Gallivan Shelley Campbell Family Delaware Dynasty Trust 10/17/2016 There have been no new developments No changes Yes No Please let me know if you have any questions. EFTA01398910 Regards, Vaishali Mehta Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management EFTA01398911