EFTA Document EFTA01430266

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Dept. of Justice

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sd-10-EFTA01430266

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Subject: RE: Neptune LLC Cor Resolution uery - KYC#01977698 [C] From: Bradley Gillin Date: Tue, 18 Sep 2018 11:41:03 -0400 To: Vijay-A Sawant < Richard Iarossi Cc: Mayur Rathod Stewart Oldfield Classification: Confidential Vijay, Confirmed. Thanks. Regards, Brad {cid:image001.gif@OlD44F44.79E2BCA0} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York. NY 10154 Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 11:00 AM To: Bradle Gillin Richard Iarossi Cc: Ma ur Rathod Stewart Oldfield Subject: RE: Neptune LLC Corp Resolution Query - KYC#01977698 EFTA01430266 Hi Brad, As per our call today, please note the below Corp Resolution issue was found in other accounts in the Sothern Financial Relationship, listed below — JEGE LLC NES LLC Plan D Attached relevant docs which highlights this issue. As discussed, we will resolve this issue by using docs which reflect ALL the RP's for respective accounts. Let me know if any queries, thanks. Kind Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India From: Vijay-A Sawant Sent: Tuesday, Sept Richard Iarossi Cc: Mayur Rathod Stewart Oldfield EFTA01430267 ic )* Subject: Neptune LLC Corp Resolution Query - KYC#01977698 Hello Rich, I wanted to have a quick chat regarding the attached corp resolutions for Neptune LLC when you come in today, so we can solve a rejection point in our case 1977698, thanks. Regards, Vijay EFTA01430268

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Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] From: Stewart Oldfield e > Date: Thu, 06 Sep 2018 10:06:56 -0400 To: Vijay-A Sawant <Ma Please give me a call when you can. Thanks From: Vijay-A Sawant Sent: Tuesday, September To: Stewart Oldfield Cc: Bradley Gillin Vinita Advani ; Richard Iarossi Subject: RE: Assistance Required in solving rejection points on KYC Case#01946825 [I] Importance: High 04, 2018 9:57 AM Hi Stewart, We require the '

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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: 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: Stewart Oldfield Sent: 9/5/2018 9:14:44 AM To: Vijay-A Sawant CC: Richard larossi Mayur Rathod ; Bradley Gillin Subject: Re: 2018 Periodic Review of High Risked Accounts Butterfly Trust and Neptune, LLC under the SOUTHERN FINANCIAL RELATIONSHIP [IJ Thanks. Will submit this afternoon. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tell Mobile Email Securities offered throug

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