EFTA01388783

Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. 212 454-2881 Mobile 917 209-0686 Email Securities offered through Deutsche Bank Securities Inc. On Sep 5, 2018, at 9:05 AM, Vijay-A Sawant < > wrote: Good Morning Stewart, We have completed KYC Case 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, <image001.gif> Vijay Sawant Mt Case Representative Deutsche cm Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, NirIon Knowledge Park, Western Express Highway Goregaon East, Mumbai -400063, India Tel. Mo vi From: Vijay-A Sawant Sent: Friday, August 31, 2018 6:04 PM To: Stewart OldfieldlIMMINNI.....-> Cc: Richard larossi ; Mayur Rathod ; Bradley Gillin < > Subject: RE: 2018 Periodic Review of High Risked Accounts I (GCIStin Butterfly Trust (GCISIaand Neptune, LLC (GCle.inder the SOUTHERN FINANCIAL RELATIONSHIP 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. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0092536 CONFIDENTIAL SDNY_GM_00238720 EFTA01388783