EFTA Document EFTA01386946

From: Vijay-A Sawant Sent: 9/6/2018 6:30: To: Stewart Oldfie CC: Richard laross Mayur Rathod Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Accoun , Butterfly Trust and Neptune, LIC .inder the SOUMPIII. Hi Stewart, I understand that Steve Mattus approves in Andrew's absence. Regards, 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 00063, India From: Stewart Oldfield Sent: Thursday, September 06, 2018 3:33 AM To: Vijay-A Sawant Cc: Richard larossi Mayur Rathod ; Bradley Gillin Subject: RE: 2018 Periodic Review of High Risked Account Butterfly Trust (GCS and Neptune, LLC (GCI ) under the SOUTHERN FINANCIAL RELATIONSHIP III Thanks. Just submitted these. Do you know who is approving on behalf of Andrew Gallivan while he's out? From: Vijay-A Sawant Sent: Wednesday, September 05, 2018 9:34 AM To: Stewart Oldfiel ayur Rathod Bradley Gillin Subject: RE: 2018 Periodic Review of Hi al d Account , Butterfly Trust (GCIS and Neptune, LLC (GCIS under the SOUTHERN FINANCIAL RELATIONSHIP [II Importance: High Many thanks Stewart!! Just wanted to remind you that KYC Caseaalso requires your review and submission to AML as per attached email. This case has 2 other accounts, so we will have S high risked accounts submitted today. O:, Kind Regards, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0088898 CONFIDENTIAL SDNY_GM_00235082 EFTA01386946