EFTA01384807.pdf

From: Mayur Rathod Sent: 10/31/2018 9:13:08 AM To: Richard larossi CC: Bradley Gillin Vinita Advan Stewart Oldfield Vijay-A Sawan Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP (Ij Classification: For Internal use only Hi Rich, Hope all is well. Following up on the below email sent by Vijay regarding pending rejection items. Do we have any update on the same. Thanks & Regards Mayur Rathod KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Floor 1, B1, D8 Centre Mumbai Nirlon Knowledge Park, Western Express Highway, Goregaon East, Mumbai 400063, India From: Vijay-A Sawant Sent: Friday, October 26, 2018 2:37 PM To: Stewart Oldfield Cc: Bradley Gillin Richard larossi ; Alka Bab Mayur Rathod Vinita Advani Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Stewart, For Hyperion LLC and J Epstein Virgin Islands Foundation Inc in rejected we require the following items mentioned in red fonts — (3) Please provide evidence of or a case comment regarding confirmation from the client that the information on the KYC is still accurate (i.e. ownership structure, signatories, etc. have not changed). The comment must include the name of the person spoken with and date this conversation occurred. (The attached internal email does not meet this requirement.) — No material confirmation email was attached to the KYC but will not suffice as per AK. They need evidence of client (person) & date +confirming no material changes. (4) Operating Agreement for Hyperion Air LLC indicates the company is manager-managed and the initial manager was Lawrence Visoski. Is he still manager? Please provide evidence of the current management for this entity. — Please CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085338 CONFIDENTIAL SDNY_GM_00231522 EFTA01384807