EFTA Document EFTA01417860

Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [C] From: Michael Koplowitz ‹ > Date: Wed, 07 Jan 2015 16:06:03 -0500 To: Wayne Salit Cc: John Juul Kerrian Gordon Dmitri Saks Carlos-A Garcia Jason Monteiro Classification: Confidential Hi Wayne, I attached an email containing the Southern Financial accounts currently open on the CB&S platform. Please note there are no accounts open in the name of Jeffrey Epstein. Unfortunately, when the clients accounts migrated to DBCAR, it became difficult to determine the account opening dates. I am reaching out to another group to determine exactly what trades are currently open on CB&S. Thanks. Regards, Mike From: Wayne Salit Sent: Wednesday, January 07, 2015 10:43 AM To: Michael Koplowitz Cc: John Juul; Kerrian Gordon; Dmitri Saks; Carlos-A Garcia Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Michael — Thanks for the information. EFTA01417860 It would be helpful to know when Southern Financial LLC was previously onboarded with CB & S and within which business line — CF, GM or CRE? Kind Regards, Wayne Salit From: Michael Koplowitz Sent: Wednesday, January 07, 2015 10:08 AM To: Wayne Salit Cc: John Juul Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi, I reached out to Ted Gonedes who is at home in London. His wife gave birth last week. According to his email, Ted is concerned with regard to reputational risk and would like to have a conversation with Courtney Fornal upon his return next Tuesday. Please see attached. I am told that this client was previously on boarded with CB&S and has open trades across several asset classes. In the interim, I am trying to track down the scope of these trades. Thanks. Regards, Mike From: Wayne Salit Sent: Tuesday, January 06, 2015 6:11 PM To: Michael Koplowitz Cc: John Juul Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01417861 Classification: For internal use only Michael — Here is the latest e-mail from the business. Please let me know if you have been able to reach Ted Gonedes on this matter. In addition, I cc'd you on an e-mail I sent to WM recommending that this matter be discussed at the Americas Rep Risk Committee. However, I have not heard back from WM. Would you mind if I told Courtney that neither you nor I are comfortable from a Rep Risk perspective and asked you to reach out to Ted for his view on this matter. Let me know. Kind Regards, Wayne Salit From: Dmitri Saks Sent: Monday, January 05, 2015 12:01 PM To: Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastasia Pringle Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only EFTA01417862 Courtney, This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because of the Holiday schedule. Thanks and regards, Dmitri fcid:[email protected] Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: fcid:[email protected] From: Courteney B Fornal Sent: Monday, January 05, 2015 10:37 AM To: Dmitri Saks; Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Dmitri- EFTA01417863 Can you tell us why this is taking so long? It's been with AML with several weeks now, correct? {https://brandportal.intranet.db.com/img/modules/logo.gif} Courteney Fornal Global Markets Complex Equity Deutsche Bank Securities Inc. 60 Wall Street New York, NY 10005-2836 Direct Desk Fax Email fhttps://brandportal.intranet.db.com/img/modules/claim.gifl eDisclaimer http://onn.theocc.com/publications/risks/riskstoc.pdf From: Dmitri Saks Sent: Monday, January 05, 2015 10:33 AM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; Courteney B Fornal; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : EFTA01417864 Southern Financial LLC [I] Classification: For internal use only Hi Anastasia, Yes, it is still pending. I should be able to provide a more definite answer tomorrow. Thanks and regards, Dmitri fcid:[email protected] Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: {cid:[email protected]} From: Anastasia Pringle Sent: Monday, January 05, 2015 10:27 AM To: Dmitri Saks; Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High EFTA01417865 Classification: For internal use only Dmitri, Please advise on the status of this, is this request still pending with AML? Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Anastasia Pringle Sent: Monday, December 22, 2014 5:44 PM To: Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High EFTA01417866 Classification: For internal use only Dmitri, Please speak with Courteney as she would be the responsible party for this request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Courteney B Fornal Sent: Monday, December 22, 2014 5:42 PM To: Anastasia Pringle; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal Use Only EFTA01417867 Anastasia, that would be me. What is the issue? https://ederivatives.db.com/static/disclaimer.html From: Anastasia Pringle Sent: Monday, December 22, 2014 05:23 PM To: US-CB S-AML; Courteney B Fornal; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Courteney/Mark, Who is the head of the business for this request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl EFTA01417868 From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Monday, December 22, 2014 5:18 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hello Anastasia, Could you please help to identify the Head of the Business through which this client is being onboarded. AML Compliance needs to have a discussion prior to approving this account. Thank you. fcid:[email protected] US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance fcid:[email protected] {Inactive hide details for Anastasia Pringle---12/22/2014 10:43:18 AM--- Classification: For internal use only Good morning,}Anastasia Pringle---12/22/2014 10:43:18 AM---Classification: For internal use only Good morning, {cid:[email protected]} From: {cid:[email protected]} Anastasia Pringle/db/dbcom@DBCOEX {cid:[email protected]} EFTA01417869 To: {cid:[email protected]} US-CB S-AML/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} Ged Account-Opening/db/dbcom@DBAmericas, Manikandan Muralidharan/db/- dbcom@DBAPAC fcid:[email protected] Date: {cid:[email protected]} 12/22/2014 10:43 AM {cid:[email protected]} Subject: {cid:[email protected]} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01417870 Classification: For internal use only Good morning, Do we have an update on the below request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Friday, December 19, 2014 3:03 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Anastasia, The case has been submitted to the next level of approval. Thank you, {cid:[email protected]} US CB&S AML Compliance EFTA01417871 AML Compliance Deutsche Bank Securities Inc. Compliance {cid:[email protected]} {Inactive hide details for Anastasia Pringle---12/19/2014 02:43:57 PM--- Classification: For internal use only Hi Dmitri,}Anastasia Pringle---12/19/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri, {cid:[email protected]} From: {cid:[email protected]} Anastasia Pringle/db/dbcom@DBCOEX {cid:[email protected]} To: {cid:[email protected]} Manikandan Muralidharan/db/dbcom@DBAPAC, Dmitri Saks/db/dbcom, {cid:[email protected]} Cc: {cid:[email protected]} Ged Account-Opening/db/dbcom@DBAmericas, US-CB S-AML/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 12/19/2014 02:43 PM {cid:[email protected]} Subject: {cid:[email protected]} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern EFTA01417872 Financial LLC [I] Classification: For internal use only Hi Dmitri, Can you please advise on the current status? Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: EFTA01417873 fhttps://brandportal.intranet.db.comiimgimodulesiclaim.gifl From: Manikandan Muralidharan Sent: Friday, December 19, 2014 10:32 AM To: Dmitri Saks Cc: Ged Account-Opening; US-CB S-AML; Anastasia Pringle Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Dmitri, We have got the alert review for the RDC alert received on Richard Kahn. During the alert review, we have found that these alerts are false positive. Please refer to the below mail with regard to Alert review for your reference. Please let us know, if anything is required from our end. Thanks and Regards, Manikandan Muralidharan fcid:[email protected] Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Tel. Mobile +91 8050027747 Email Backup details - Ganesh Balaji ( Bharath-Kumar MS For Escalations please contact Level 1 - Karthik ( Level 2 - Balaji ( )/Kumud ( fcid:[email protected] Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:53 PM EFTA01417874 Icid:[email protected] From: {cid:[email protected]} Syed-Anzar Ahmed/db/dbcom Icid:[email protected] To: {cid:[email protected]} Manikandan Muralidharan/db/dbcom@DBAPAC, Icid:[email protected] Cc: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAmericas, Suresh-x Salimath/db/dbcom@DBAMERICAS, Anantesh Anand/db/dbcom@DBAMERICAS Icid:[email protected] Date: {cid:[email protected]} 12/19/2014 08:42 PM Icid:[email protected] Subject: {cid:[email protected]} Re: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent [I] EFTA01417875 Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is Wells Fargo Employee and was fined for unregistered activity. http://www.bizjournals.com/southflorida/search?- q=9622Jeffrey+Kahn9622&title=963Fiframe963Dtrue&width=959625&height=959625+title963- D+title963D+title963D+title963D9620title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. https://www.google.co.in/url?url=https://www.nyse.com/pdfs/12- ARCA-3.pdf&rct=j&frm=l&q=&esrc=s&sa=U&ei=MD6UVIedDsWPuAT924DoCQ&ved=0CBMQFjA- A&usg=AFQjCNH6TerGChaK_BRHqY5DUNOCAX7ziw EFTA01417876 Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, fcid:[email protected] Syed-Anzar Ahmed Process Supervisor I COB - RDC LOOKBACK TEAM DBOI Global Services Private Limited Global Business Services VTP,Electronic City, Hosur Road, 560100 Bangalore, India Tel. +44-20-77795539 Mobile +91 8050736279 Email {cid:[email protected]} {Inactive hide details for Manikandan Muralidharan---12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team, Req}Manikandan Muralidharan---12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard K {cid:[email protected]} From: {cid:[email protected]} Manikandan Muralidharan/db/dbcom {cid:[email protected]} To: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAmericas, {cid:[email protected]} Cc: EFTA01417877 {cid:[email protected]} Syed-Anzar Ahmed/db/dbcom@DBAPAC, Suresh Jofin Varghese/db/dbcom@DBAMERICAS, Saga Kameshwaran Ns/db/dbcom@DBAPAC, Anantesh {cid:[email protected]} Date: {cid:[email protected]} 12/19/2014 08:23 PM {cid:[email protected]} Subject: -x Salimath/db/dbcom@DBAMERICAS, r Prakash/db/dbcom@DBAMERICAS, Anand/db/dbcom@DBAMERICAS {cid:[email protected]} Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent [I] Classification: For internal use only EFTA01417878 Hi Team, Request you review the RDC hit received on "Richard Kahn, one of the board of director of Parent entity, Southern Trust Company Inc. (See attached file: Additional AML checks on Parent entity, board of director.pdf) Additional document (See attached file: 5 - SFLLC UBO.PDF) Thanks and Regards, Manikandan Muralidharan fcid:[email protected] Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Ban alore, India Tel. Mobile +91 8050027747 Email Backup details - Ganesh Balaji ( Bharath-Kumar MS For Escalations please contact Level 1 - Karthik ( Level 2 - Balaji ( )/Kumud ( Icid:[email protected] Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:13 PM fcid:[email protected] From: {cid:[email protected]} Anastasia Pringle/db/dbcom@DBCOEX EFTA01417879 fcid:[email protected] To: {cid:[email protected]} Dmitri Saks/db/dbcom, {cid:[email protected]} Cc: {cid:[email protected]} Ged Account-Opening/db/dbcom@DBAmericas, US-CB S-AML/db/dbcom@DBAMERICAS, Manikandan Muralidharan/db/dbcom@DBAPAC {cid:[email protected]} Date: {cid:[email protected]} 12/19/2014 08:01 PM {cid:[email protected]} Subject: {cid:[email protected]} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01417880 Classification: For internal use only Hello Dmitri, Please see the background checks for the additional 2 CP's. Please give an update to this request as soon as you can. Thank you {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa , Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks Sent: Thursday, December 18, 2014 1:23 PM To: Anastasia Pringle Cc: Ged Account-Opening; US-CB S-AML; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Anastasia, Thank you, this is helpful. However, a proof of appointment of the Board of Southern Trust Company, Inc. (Jeffrey Epstein, Darren K. Indyke, Richard Kahn) is still required. This is because they signed the UBO confirmation EFTA01417881 document stating that Mr. Epstein is the sole shareholder of Southern Trust Company, Inc. Also, Darren K. Indyke and Richard Kahn need to be identified as control persons in addition to Jeffrey Epstein, and the PCR/RDC checks for them need to be run and documented. This is because they control Southern Trust Company, Inc. which is the sole member of Southern Financial LLC. Thanks and regards, Dmitri {cid:image001. EC44A0} Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: (cid:[email protected]} From: Anastasia Pringle Sent: Thursday, December 18, 2014 12:24 PM To: Manikandan Muralidharan; Dmitri Saks Cc: Ged Account-Opening Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High Classification: For internal use only Mani/Dmitri Please see the attached documents. Please advise if there is anything additional needed. Hi Anastasia, Per your request, please find attached the following: 1) Southern Trust: All incorporation documents 2) Southern Financial: Operating Agreement and incorporation documents In each document package, please disregard the DB PWM brokerage account EFTA01417882 documents, as they are not relevant. Please reach out with any further questions. Thank you. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Email Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Manikandan Muralidharan Sent: Wednesday, December 17, 2014 2:36 PM To: Anastasia Pringle Cc: Ged Account-Opening Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Anastasia, As advised by AML Compliance in the below mail, we would be requiring a revised ownership confirmation to proceed further with the adoption of the captioned entity, Southern Financial LLC. Request you to help us obtain the same. Thanks and Regards, Manikandan Muralidharan fcid:[email protected] Manikandan Muralidharan U S - New Client Adoption EFTA01417883 DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Ban alore, India Tel. Mobile +91 8050027747 Email Backup details - Ganesh Balaji ( Bharath-Kumar MS For Escalations please contact Level 1 - Karthik ( Level 2 - Balaji ( )/Kumud ( {cid:[email protected]} Forwarded by Manikandan Muralidharan/db/dbcom on 12/18/2014 01:00 AM {cid:[email protected]} From: {cid:[email protected]} Dmitri Saks/db/dbcom@DBCOEX {cid:[email protected]} To: {cid:[email protected]} Jofin Varghese/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAmericas, Manikandan Muralidharan/db/dbcom@DBAPAC, Sujith Shetty/db/dbcom@DBAMERICAS, US-CB S-AML/db/dbcom@DBAMERICAS, Anastasia Pringle/db/dbcom, Kumud Sharma/db/dbcom@DBAPAC {cid:[email protected]} Date: EFTA01417884 {cid:[email protected]} 12/17/2014 10:08 PM {cid:[email protected]} Subject: {cid:[email protected]} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Jofin, Please note that the provided Board resolution is the document of Southern Trust Company, Inc., and not Southern Financial LLC. Therefore, the following key statements made within the document will need to be validated: EFTA01417885 "Epstein is also the sole shareholder of Corporation" (i.e., Southern Trust Company, Inc.), and "the Corporation is the sole member of Southern Financial LLC" In order to validate the above, please provide the following supporting documentation: For Southern Trust Company, Inc.: proof of incorporation/formation and proof of appointment of the board of directors. You will also need to identify the board members as control persons for this account since they would be controlling Southern Financial LLC through Southern Trust Company, Inc. PCR/RDC searches would also be required. For Southern Financial LLC: Operating Agreement or other valid proof that Southern Trust Company, Inc. is the sole member of Southern Financial LLC. Alternatively, as I stated before, you can provide a letter/email from an internal or external legal counsel stating that Mr. Epstein is the sole UBO of Southern Financial LLC. Thanks and regards, Dmitri fcid:[email protected] Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: fcid:[email protected] EFTA01417886 From: Jofin Varghese Sent: Wednesday, December 17, 2014 10:36 AM To: Dmitri Saks Cc: CAGNY NCA; Manikandan Muralidharan; Sujith Shetty; US-CB S-AML; Anastasia Pringle; Kumud Sharma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The UBO is the sole controlling person of our entity however the Board of Directors who executed the operating agreement are the part of the Parent company. We have Considered the confirmation from the BOD of the parent entity which is an independent execution. While the procedure indicated to accept the UBO confirmation provided by the board of director either through an client email or Letter head or formal legal agreements. Kindly provide your view on the same Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile +91 953853 9721 Email Escalation Point: Back Up:[email protected], {Inactive hide details for Dmitri Saks---12/17/2014 08:30:54 PM--- Classification: For internal use only Hi Jofin,}Dmitri Saks---12/17/2014 08:30:54 PM---Classification: For internal use only Hi Jofin, {cid:[email protected]} From: {cid:[email protected]} Dmitri Saks/db/dbcom@DBCOEX EFTA01417887 Icid:[email protected] To: {cid:[email protected]} Jofin Varghese/db/dbcom@DBAMERICAS, fcid:[email protected] Cc: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAmericas, Manikandan Muralidharan/db/dbcom@DBAPAC, Sujith Shetty/db/dbcom@DBAMERICAS, US-CB S-AML/db/dbcom@DBAMERICAS Icid:[email protected] Date: {cid:[email protected]} 12/17/2014 08:30 PM fcid:[email protected] Subject: {cid:[email protected]} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01417888 Classification: For internal use only Hi Jofin, As stated in the attached, Jeffrey Epstein is the only control person, hence the "conflict of interest supposition" still exists. Besides, the supplied Board of Directors paper is neither notarized/witnessed/certified nor represents a formal filing document. In other words, it is not a strong legal proof. In such cases we recommend requesting a letter/email from an internal or external legal counsel. Thanks and regards, Dmitri fcid:[email protected] Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail: fcid:[email protected] EFTA01417889 From: Jofin Varghese Sent: Tuesday, December 16, 2014 6:30 PM To: US-CB S-AML Cc: CAGNY NCA; Dmitri Saks; Manikandan Muralidharan; Sujith Shetty; US-CB 5- AML Subject: Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The Document is signed by the UBO himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the UBO verification confirmed by UBO himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the UBO document. Kindly let us know if you want us to go back {cid:[email protected]} {cid:[email protected]} Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile +91 953853 9721 Email Escalation Point: Back Up:[email protected], {Inactive hide details for US-CB S-AML---12/17/2014 04:31:50 AM--- Classification: For internal use only Hello All, Please note t}US-CB S- AML---12/17/2014 04:31:50 AM---Classification: For internal use only Hello All, Please note that the UBO verification document is s fcid:[email protected] From: EFTA01417890 {cid:[email protected]} US-CB S-AML/db/dbcom fcid:[email protected] To: {cid:[email protected]} Sujith Shetty/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAMERICAS, Jofin Varghese/db/dbcom@DBAMERICAS, Manikandan Muralidharan/db/dbcom@DBAPAC, US-CB S-AML/db/dbcom@DBAMERICAS fcid:[email protected] Date: {cid:[email protected]} 12/17/2014 04:31 AM fcid:[email protected] Subject: {cid:[email protected]} Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01417891 Classification: For internal use only Hello All, Please note that the UBO verification document is signed by the alleged UBO himself and may not be accepted as such. Please follow the CB&S U.S. AML Due Diligence Requirements to verify ownership: Obtain information on the organizational structure of the customer to the natural person level (direct or indirect UBOs of 25% or greater). Such information may be obtained through one or more of the following methods: • Organizational Chart OR • Letter/e-mail from Internal Counsel, Compliance Officer or Senior Manager (e.g., Control person) OR • Letter/e-mail from External Counsel OR • Use of publicly available information (e.g., trusted website) OR • Use of documentation (e.g., Registry Filing, legal document, etc.) Should you have any questions, please contact us. Thank you, {cid:[email protected]} US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:[email protected]} EFTA01417892 {Inactive hide details for Sujith Shetty---12/15/2014 03:49:38 PM--- Classification: For internal use only Hi Team, Attached bel}Sujith Shetty---12/15/2014 03:49:38 PM---Classification: For internal use only Hi Team, Attached below is the EDD Package for RID - ONB - 1 {cid:[email protected]} From: {cid:[email protected]} Sujith Shetty/db/dbcom fcid:[email protected] To: {cid:[email protected]} US-CB S-AML/db/dbcom@DBAMERICAS, fcid:[email protected] Cc: {cid:[email protected]} Manikandan Muralidharan/db/dbcom@DBAPAC, Jofin Varghese/db/dbcom@DBAMERICAS, CAGNY NCA/db/dbcom@DBAmericas fcid:[email protected] Date: {cid:[email protected]} 12/15/2014 03:49 PM fcid:[email protected] EFTA01417893 Subject: {cid:[email protected]} EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Team, Attached below is the EDD Package for RID - ONB - 120902 Southern Financial LLC. Captioned request is principal party set up and it is a Private Investment Vehicle.Request is raised for DBSI- Equity - custody/- Margin (Type 1). We are escalating the request as Entity is Private Investment Vehicle. Kameshwaran has reviewed the alerts and the same has been attached for your reference. "..lofin reviewed and QA'd this EDD escalation package and confirms that all appropriate documentation is being escalated." EFTA01417894 The request has been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf" deleted by Dmitri Saks/db/- dbcom] CIP Document [attachment "1 - CIP Doc.pdf" deleted by Dmitri Saks/db/dbcom] Physical Email [attachment "CIP e-mail.pdf" deleted by Dmitri Saks/db/dbcom] CP Proof [attachment "CP Proof.pdf" deleted by Dmitri Saks/db/dbcom] UBO Proof [attachment "UBO.PDF" deleted by Dmitri Saks/db/dbcom] ID Proof [attachment "5 - UBO - ID.pdf" deleted by Dmitri Saks/db/dbcom] AML Checks on Entity, CP and UBO [attachment "3 - AML Checks.pdf" deleted by Dmitri Saks/db/dbcom] Internal Review [attachment "Alert Review.pdf" deleted by Dmitri Saks/db/dbcom] Confirmation on Private investment vehicle [attachment "Confirmation.pdf" deleted by Dmitri Saks/db/dbcom] Kind regards, Sujith Shetty fcid:[email protected] Sujith Shetty EFTA01417895 DBOI Global Services Private Limited Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Mobile +0 9980030658 Email Icid:[email protected] [attachment "CP Proof.pdf" deleted by Jofin Varghese/db/dbcom] (See attached file: [Untitled].pdf) EFTA01417896