EFTA Document EFTA01419338

Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] From: Wayne Salit Date: Tue, 23 Dec To: John Juul Classification: For internal use only Thanks! Kind Regards, Wayne Salit From: John Juul Sent: Tuesday, December 23, 2014 3:00 PM To: Wayne Salit Cc: Michael Koplowitz Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Sorry about that. From: Wayne Salit Sent: Tuesday, December 23, 2014 2:56 PM To: John Juul Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only John — EFTA01419338 Thanks for the information. I will escalate this matter to Ted Gonedes for his view on the Rep Risk issue. BTW, you mentioned that you copied Mike, but I did not see it in the cc line. What is Mike's last name? Kind Regards, Wayne Salit From: John Juul Sent: Tuesday, December 23, 2014 2:45 PM To: Wayne Salit Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Yes, he is. Copying Mike who covers this space from a Line Advisory perspective. From: Wayne Salit Sent: Tuesday, December 23, 2014 1:39 PM To: John Juul Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only EFTA01419339 John — See information below. Are you familiar with Ted Gonedes? I am trying to figure out if he is senior enough for this decision. Also, the directory does not indicate who Ted reports into. Let me know your thoughts on whether Ted is the right person to go to with this Rep Risk issue? Thanks. Kind Regards, Wayne Salit From: Dmitri Saks Sent: Tuesday, December 23, 2014 9:32 AM To: Wayne Salit Cc: Carlos-A Garcia; Jan Bornebusch Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Wayne, The correct spelling of Courteney's last name is Fornal. She is Director and Registered Principal for the deal. Courteney is on vacation, but she's checking her email and would be available for a chat. Jan and I actually spoke with her a few days ago on a separate topic. I don't believe she's high enough for our purposes but we could definitely start with her. EFTA01419340 The Managing Director for this business is William Shelton. He's out on an MTA and this is his out-of-office message: "I am on my mandatory time away with no access to e-mail. I will be back in the offic ' nuary 2nd. For immediate assistance, call the desk at For emergencies, my mobile number i The ultimate head of the Business is Ted Gonedes, Global Head of Equity Derivatives Sales for CB&S Markets (sits here in NY). He's also on an MTA and will be back next Monday, December 29. 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: Carlos-A Garcia Sent: Tuesday, December 23, 2014 8:15 AM To: Wayne Salit Cc: Carlos-A Garcia; Dmitri Saks Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01419341 Classification: For internal use only Hello Wayne, From the information listed below, it appears that Courteney B Formal is the head for this request. Kind regards, Carlos Garcia From: Carlos-A Garcia On Behalf Of US-CB S-AML Sent: Tuesday, December 23, 2014 8:13 AM To: Carlos-A Garcia Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Forwarded by Carlos-A Garcen 12/23/2014 08:12 AM {cid:[email protected]} From: {cid:[email protected]} Courteney B Fornal/db/dbcom@DBCOEX {cid:[email protected]} To: {cid:image002.p .865A3A30} Anastasia Pringl US-CB S-AM ark Whyman= EFTA01419342 {cid:[email protected]} Cc: {cid:image002.png@OlD01E88 865A3A30 Ged Account-0 ening {cid:[email protected]} Date: {cid:[email protected]} 12/22/2014 05:42 PM {cid:[email protected]} Subject: anikandan Muralidharan {cid:[email protected]} Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For Internal Use Only Anastasia, that would be me. What is the issue? https://ederivatives.db.com/static/disclaimer.html EFTA01419343 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 Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: [email protected] fhttps://brandportal.intranet.db.com/img/modules/claim.gifl 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. EFTA01419344 {cid:[email protected]} US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:[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:image015.pn 01D01E0C.039E9630} Anastasia Pringle {cid:[email protected]} To: {cid:image015. n 01D01E0C.039E9630} US-CB S-AML {cid:[email protected]} Cc: {cid:[email protected] Ged Account-0 ening {cid:[email protected]} Date: {cid:[email protected]} 12/22/2014 10:43 AM Manikandan Muralidharan/db/- EFTA01419345 {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 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 Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Emai EFTA01419346 Please send all GED related emails to: [email protected] {https://brandportal.intranet.db.com/img/modules/claim.gif} 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 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:image007.pn 01D01DD4.0DBF56A0} Anastasia Pringle {cid:[email protected]} To: {cid:[email protected] Manikandan Muralidharan Dmitri Saks EFTA01419347 {cid:[email protected]} Cc: {cid:image007.png@ Ged Account-Opening US-CB S-AML {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 Financial LLC [I] Classification: For internal use only Hi Dmitri, EFTA01419348 Can you please advise on the current status? Thanks fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa Suite 500 Tel. Fax Email 32256 Jacksonville, FL, USA Please send all GED related emails to: [email protected] {https://brandportal.intranet.db.com/img/modules/claim.gif} 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 {cid:[email protected]} Manikandan Muralidharan U S - New Client Adoption EFTA01419349 DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 56010 Tel. Mobile Email Backup details - Ganesh Balaji Bharath-Kumar MS For Escalations please contact Level 1 - Karthik Level 2 - Balaji {cid:[email protected]} Forwarded by Manikandan Muralidharan on 12/19/2014 08:53 PM {cid:[email protected]} From: {cid:image004.pn 01D01B9A.2E284910} Syed-Anzar Ahmed {cid:[email protected]} To: {cid:[email protected]} Manikandan Muralidharan {cid:[email protected]} Cc: {cid:ima e004. n 01D01B9A.2E284910} CAGNY NCA Suresh-x Salimath Anantesh Anan {cid:[email protected]} Date: {cid:[email protected]} 12/19/2014 08:42 PM EFTA01419350 {cid:[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] 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?- EFTA01419351 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=MD6UVIedDsWPuAT924DoCp&ved=0CBMQFjA- A&usg=AFQjCNH6TerGChaK_BRHqY5DUNOCAX7ziw 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. Mobile 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 Muralidhara EFTA01419352 {cid:[email protected]} To: {cid:ima 84910} CAGNY NCA {cid:[email protected]} Cc: {cid:image004.p Syed-Anzar Ahmed Jofin Varghese Kameshwaran N Suresh-x Salimath , Sagar Prakash Anantesh Anand {cid:[email protected]} Date: {cid:[email protected]} 12/19/2014 08:23 PM {cid:[email protected]} Subject: {cid:[email protected]} Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent [I] EFTA01419353 Classification: For internal use only 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 {cid:[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 Email Backup details - Ganesh Balaji Bharath-Kumar MS For Escalations p Level 1 - Karthik Level 2 - Balaji fcid:[email protected] Forwarded by Manikandan Muralidharan on 12/19/2014 08:13 PM EFTA01419354 {cid:[email protected]} From: {cid:image004.pn 0} Anastasia Pringle {cid:[email protected]} To: {cid:image00.4. nc 01D01B9A.2E284910} Dmitri Saks {cid:[email protected]} Cc: {cid:image004.png@ Ged Account-Opening US-CB S-AML Manikandan Muralidharan {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] EFTA01419355 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 Tel. Fax Emai 32256 Jacksonville, FL, USA Please send all GED related emails to: [email protected] {https://brandportal.intranet.db.com/img/modules/claim.gif} 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, EFTA01419356 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 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 fcid:[email protected] Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wa Tel: E-mai 10005-2836 Icid:[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 EFTA01419357 In each document package, please disregard the DB PWM brokerage account 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 Tel. Fax Emai 256 Jacksonville, FL, USA Please send all GED related emails to: [email protected] 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 {cid:[email protected]} EFTA01419358 Manikandan Muralidharan U S - New Client Adoption DBOI Global Block 5, 6, 560100 B Tel. Mobil Email Services Private Limited 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, India lore. Backup details - Ganesh Balaji (I Bharath-Kumar MS For Escalations please contact Level 1 - Karthik Level 2 - Balaji {cid:[email protected]} Forwarded by Manikandan Muralidharan {cid:[email protected]} From: {cid:image004. n 01D01ABD.8637A840} Dmitri Saks {cid:[email protected]} To: {cid:image004. n 01D01ABD.8637A840} Jofin Varghes {cid:[email protected]} Cc: {cid:ima CAGNY NCA Sujith Shetty Anastasia Pringl 0-00' •i..I 10 ill :• 37A840} Manikandan Muralidharan US-CB S-AML Kumud Sharma n 12/18/2014 01:00 AM {cid:[email protected]} EFTA01419359 Date: {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: EFTA01419360 "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 {cid:[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] EFTA01419361 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 India Tel. Email Escalat Back Up: City, Hosur Road„ 560100 Bangalore, {Inactive hide details for Dmitri Saks---12/17/2014 08 Classification: For internal use only Hi Jofin,}Dmitri 08:30:54 PM---Classification: For internal use only Hi {cid:[email protected]} From: {cid:[email protected]} Dmitri Saks/db/dbcom@DBCOEX :30:54 PM--- Saks---12/17/2014 Jofin, EFTA01419362 {cid:[email protected]} To: {cid:[email protected]} Jofin Varghese/db/dbcom@DBAMERICAS, {cid:[email protected]} Cc: {cid:ima ECC6A0} CAGNY NCA Manikandan Muralidhara Sujith She US-CB S-AM {cid:[email protected]} Date: {cid:[email protected]} 12/17/2014 08:30 PM {cid:[email protected]} Subject: {cid:[email protected]} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01419363 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 {cid:[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: 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 S- AML Subject: Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01419364 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. Mobil Email Escalation Point: Back Up {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: {cid:[email protected]} US-CB S-AML/db/dbcom fcid:[email protected] EFTA01419365 To: {cid:imageOMMI.10} Sujith Shett fcid:[email protected] Cc: {cid:ima F81D70} CAGNY NC Jofin Varghese Manikandan Muralidharan US-CB S-AM {cid:[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] EFTA01419366 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]} {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 fcid:[email protected] From: EFTA01419367 {cid:image009. n 01D019D9.DCF81D70} Sujith Shett {cid:[email protected]} To: {cid:image 0} US-CB S-AML {cid:[email protected]} Cc: {cid:image009.png@OlD Manikandan Muralidhara Jofin Varghese CAGNY NCA {cid:[email protected]} Date: {cid:[email protected]} 12/15/2014 03:49 PM {cid:[email protected]} Subject: {cid:[email protected]} EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01419368 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." 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 EFTA01419369 [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 DBOI Global Services Private Limited Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Mobile Email Icid:[email protected] [attachment "CP Proof.pdf" deleted by Jofin Varghese/db/dbcom] (See attached file: [Untitled].pdf) EFTA01419370