EFTA01435779.pdf

Subject: Re: 2018 Periodic Review of High Risked Accounts III ( ), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Stewart Oldfield ‹ > Date: Wed, 05 Sep 2018 09:14:44 -0400 To: Vijay-A Sawant Cc: Richard Iarossi Mayur Rathod Bradley Gillin 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 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. On Sep 5, 2018, at 9:05 AM, Vijay-A Sawant cc > wrote: > Good Morning Stewart, We have completed KYC Case#01977698 for the above high risked accounts and re-assigning this case to you for your approval. Request you to kindly advise if any discrepancies, or else forward to the AML team for final approval, thanks. Kind Regards, EFTA01435779 <image001.gif> 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. Mobil From: Vijay-A Sawant Sent: Friday, August 31, 2018 6:04 PM To: Stewart Oldfield Cc: Richard Iarossi Ma ur Rathod < >; Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Accounts III ( ), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hi Stewart, Thanks for the confirmation on Butterfly Trust. We confirm that we do not require CDD form for this account & everything ok with this acct. For Neptune, we agree that we have all docs for Richard Kahn. The only reason we clarified below is because he was missing as RP, from the previously approved KYC (01790739). However as per documentation evidence, we confirm he needs to be added. Anyways, we will be submitting this case by Monday when all searches are complete. EFTA01435780 I am available for another hour today, are you free for a call now? Kind Regards, <image001.gif> 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 +91 From: Stewart Oldfield Sent: Friday, August 31, 2018 5:52 PM To: Vijay-A Sawant Cc: Richard Iarossi ; Ma ur Rathod < =.; Bradley Gillin Subject: Re: 2018 Periodic Review of High Risked Accounts III ( ), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Butterfly is a personal trust. For Neptune, any reason not to just add Rich as an RP? We've already KYC'd him for other accounts, correct? Will call you at 9 or so. EFTA01435781 Thanks Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. Mobile Email Securities offered through Deutsche Bank Securities Inc. On Aug 31, 2018, at 7:21 AM, Vijay-A Sawant < > wrote: Hi Stewart, EFTA01435782 Please see pending confirmations required in KYC Case#01977698 for Butterfly & Neptune, below — Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case#01790739. Kindly advise on the above so we can complete this case and submit to AML for approval, thanks. Kind Regards, <image001.gif> 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 Goregaon East, Mumbai - 400063 , India Tel. Mobile +91 From: Vijay-A Sawant Sent: Friday, August 24, 2018 2:39 PM To: Stewart Oldfield ; Richard Iarossi Cc: Mayur Rathod ; Bradley Gitlin Subject: RE: 2018 Periodic Review of High Risked Accounts EFTA01435783 III ( ), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Richard, We have received material change confirmation from Brad on below accounts as per attached email. So following are list of items pending on these accounts Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case#01790739. We will proceed to the next stages upon receipt of your confirmation of the above queries, thanks. Kind Regards, <image001.gif> 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 Goregaon East, Mumbai - 400063 , India Tel. EFTA01435784 From: Vijay-A Sawant Sent: Tuesday, July 31, 2018 6:31 PM To: Bradley Gillin ; Stewart Oldfield Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts ), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. Upon review of the docs available in the repositories, we have completed the attached checklist, main RP's also listed below for reference — Acct Holder — Butterfly Trust Grantor — Jeffrey Epstein Trustees — Harry Beller & Erika Kellerhals UBO's — , Irina , Celina Dubin, Darren Indyke, Karyna Shuliak, Richard Kahn, Following are list of required items — Confirm whether material changes to account or not & RP's EFTA01435785 identified above are correct? Volcker Questionnaire completed reflects this trust as a "Family Trust" but this seems inaccurate. All UBO's have different surnames and some even different nationalities. Please advise if ok to accept? I have attached the questionnaire in this email for reference. Depending on the response to above bullet point, we might require CDD form if this trust is deemed to be Corporate trust. Acct Holder — Neptune LLC Sole Member & Shareholder — Jeffrey Epstein Manager — Richard Kahn Authorized Signers — Harry Beller & Darren Indyke Following are list of required items — Confirm whether material changes to account or not & RP's identified above are correct? Fincen CDD form required, attached blank form for reference Acct Holder & Authorized Signatory — Joint Acct Holder & Authorized Signatory — Karyna Shuliak SOW Company (for Karyna Shuliak) — JSC Interiors LLC Following are the list of required items — EFTA01435786  Confirm whether material changes to account or not? Kindly advise at the earliest on the above so I can launch KYC for all accounts and begin remediation, thanks. Kind Regards, <image001.gif> 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 Goregaon East, Mumbai - 400063 , India Tel. Mobile +91 EFTA01435787