EFTA Document EFTA01388794

Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl Ncw York. NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 11:00 AM To: Bradley Gillin ; Richard larossi Cc: Mayur Rathod ; Stewart Oldfield Subject: RE: Neptune LLC Corp Resolution Query - KYC#01977698 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 does which highlights this issue. As discussed, we will resolve this issue by using dots which reflect ALL the RP's for respective accounts. Let me know if any queries, thanks. Kind Regards, Vijay Sawant KYC Case Representative Deutsche OB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Tuesday, September 18, 2018 5:17 PM To: Bradley Gillin a; Richard larossi Cc: Mayur Rathod Stewart Oldfield 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. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0092551 CONFIDENTIAL SDNY_GM_00238735 EFTA01388794