EFTA Document EFTA01419447

Subject: RE: EDD package for the RID : ONB-120902 Southern Financial LLC [I] From: Dmitri Saks 11.11111.1. Date: Mon, 05 Jan To: Courteney B Fornal Cc: Ged Account-Opening Manikandan Muralidharan US-CB S-AML Mark Whyman Anastasia Pringle Bcc: Classification: For internal use only Courtney, LKYCUS-3443 Party name : 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 {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] From: Courteney B Fornal Sent: Monday, January 05, 2015 10:37 AM EFTA01419447 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- 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 Yor - Direct Desk Fax Emai {https://brandportal.intranet.db.com/img/modules/claim.gif} eDisclaimer EFTA01419448 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 : 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-mai {cid:[email protected]} EFTA01419449 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 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 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 EFTA01419450 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 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 Tel. Fax Ema 32256 Jacksonville, FL, USA Please send all GED related emails to: [email protected] fhttps://brandportal.intranet.db.com/img/modules/claim.gifl EFTA01419451 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 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 fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Kind Regards, Mrs. Anastasia Pringle EFTA01419452 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] 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. fcid:[email protected] US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:[email protected]} EFTA01419453 {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]} 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] EFTA01419454 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 Ema 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, EFTA01419455 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:[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 EFTA01419456 {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, 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 Tel. Fax Ema 256 Jacksonville, FL, USA Please send all GED related emails to: EFTA01419457 fhttps://brandportal.intranet.db.com/img/modules/claim.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 Icid:[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, 56010 Tel. Mobil Email Backup details - Ganesh Balaji Bharath-Kumar For Escalations please contact Level 1 - Karthik Level 2 - Balaji Icid:[email protected] Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:53 PM EFTA01419458 {cid:[email protected]} From: {cid:[email protected]} Syed-Anzar Ahmed/db/dbcom {cid:[email protected]} To: {cid:[email protected]} Manikandan Muralidharan/db/dbcom@DBAPAC, {cid:[email protected]} Cc: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAmericas, Suresh-x Salimath/db/dbcom@DBAMERICAS, Anantesh Anand/db/dbcom@DBAMERICAS {cid:[email protected]} Date: {cid:[email protected]} 12/19/2014 08:42 PM {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] EFTA01419459 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 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, EFTA01419460 {cid:[email protected]} Syed-Anzar Ahmed Process Supervisor I COB - RDC LOOKBACK TEAM DBOI Global Services Private Global Business Services VTP,Electronic Cit Hosur Tel. Mobil Email Limited Road 560100 Bangalore, India Icid:[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 Icid:[email protected] From: {cid:[email protected]} Manikandan Muralidharan/db/dbcom Icid:[email protected] To: {cid:[email protected]} CAGNY NCA/db/dbcom@DBAmericas, Icid:[email protected] Cc: {cid:[email protected]} Syed-Anzar Ahmed/db/dbcom@DBAPAC, Suresh-x Salimath/db/dbcom@DBAMERICAS, Jofin Varghese/db/dbcom@DBAMERICAS, Sagar Prakash/db/dbcom@DBAMERICAS, Kameshwaran Ns/db/dbcom@DBAPAC, Anantesh Anand/db/dbcom@DBAMERICAS fcid:[email protected] Date: EFTA01419461 {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] 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 EFTA01419462 {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, 56010 Tel. Mobil Email Backup details - Ganesh Balaji Bharath-Kumar For Escalations p Level 1 - Karthik Level 2 - Balaji {cid:[email protected]} Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:13 PM {cid:[email protected]} From: {cid:[email protected]} Anastasia Pringle/db/dbcom@DBCOEX {cid:[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 EFTA01419463 fcid:[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] 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 fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Kind Regards, Mrs. Anastasia Pringle EFTA01419464 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] 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 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:[email protected]} Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street New York NY 10005-2836 Tel: E-mai {cid:[email protected]} EFTA01419465 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 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 Parkwa Suite 500, Tel. Fax Emai 32256 Jacksonville, FL, USA Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Manikandan Muralidharan EFTA01419466 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]} 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. Mobil Email Backup details - Ganesh Balaji Bharath-Kumar For Escalations pl nt t Level 1 - Karthik Level 2 - Balaji {cid:[email protected]} Forwarded by Manikandan Muralidharan/db/dbcom on 12/18/2014 01:00 AM {cid:[email protected]} From: EFTA01419467 {cid:[email protected]} Dmitri Saks/db/dbcom@DBCOEX fcid:[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: {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] EFTA01419468 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: "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. EFTA01419469 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-mai fcid:[email protected] 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 EFTA01419470 Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile Email Escalation Point: Back Up: {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 {cid:[email protected]} From: {cid:[email protected]} Dmitri Saks/db/dbcom@DBCOEX fcid:[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 fcid:[email protected] Date: {cid:[email protected]} 12/17/2014 08:30 PM {cid:[email protected]} EFTA01419471 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 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. EFTA01419472 60 Wall Street New York NY 10005-2836 Tel: E-mai fcid:[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] 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 Email Escalation Back Up: {Inactive hide details for US-CB S-AML---12/17/2014 04:31:50 AM--- EFTA01419473 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 {cid:[email protected]} From: {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: EFTA01419474 {cid:[email protected]} Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] 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 EFTA01419475 fcid:[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 {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 EFTA01419476 fcid:[email protected] 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." 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] EFTA01419477 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 DBOI Global Services Private Limited Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Mobile Email EFTA01419478 {cid:[email protected]} [attachment "CP Proof.pdf" deleted by Jofin Varghese/db/dbcom] (See attached file: [Untitled].pdf) EFTA01419479