EFTA Document EFTA01420977

Subject: RE: Gratitude [I] From: Emily Craig Date: Fri, 30 Nov 2018 12:41:58 -0500 To: Stewart Oldfield Classification: For internal use only See attached. Kind Regards, Emily fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl Emily Craig Director Deutsche Bank Wealth Management Deutsche Bank Securities, Inc 1 South Street, Baltimore, MD 21202-3298 From: Stewart Oldfield Sent: Friday, November 30, 2018 10:27 AM EFTA01420977 To: Emily Craig <emily.craig@db.com> Subject: RE: Gratitude [I] On 11/15 we were told that they would get us the info. Now they may not be able to. Will know more next week. But I agree that we should have on the exclusion list. If you want to send me a draft of the letter, happy to take a look Thanks From: Emily Craig Sent: Friday, November 30, 2018 9:42 AM To: Stewart Oldfield ‹ > Subject: RE: Gratitude [I] Classification: For internal use only Let's touch base. I marked this Pending Exclusion as you referenced a communication to client if we didn't receive details by 11/15 we would need to consider exiting. Do you want the letter to formalize this? Kind Regards, Emily fcid:80063086-E6B1-464A-83C1-C22D037DB24E@lanl EFTA01420978 Emily Craig Director Deutsche Bank Wealth Management Deutsche Bank Securities, Inc 1 South Street, Baltimore, MD 21202-3298 From: Stewart Oldfield Subject: RE: Gratitude Have spoken to both clients (Gratitude and the family office of the donor). I'm not positive that they are both on the same page still. Have a follow up call Monday, but I think there is now a chance we don't get the info we need. In which case we should discuss next steps. Thanks From: Vijay-A Sawant Sent: Friday, November 30, 2018 12:51 AM EFTA01420979 • ; Mayur Rathod Cc: Richard Iarossi Bradle Gitlin Vinita Advan Daphne Cates Subject: RE: Gratitude Importance: High Good Morning Stew, Any new updates from Gratitude? Kind Regards, {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India From: Stewart Oldfield Sent: Thursda November 01 2018 9:37 PM EFTA01420980 Client hopes to have an answer on Gratitude by Nov. 15th. Thanks From: Stewart Oldfield Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP [I] No update on Gratitude. I expect to have one today From: Mayur Rathod Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP [I] Classification: For internal use only Hi Stew, We did get LPOA for Paul Barrett, but for other accounts. EFTA01420981 We have it now for J. Epstein Virgin Islands Foundation Inc. — highlighted in GREEN below. All the other rejection items are pending. Also, do we have an update on Gratitude America Ltd. — are client willing to provide the documents for BV70 LLC — a significant donor in this KYC, or are they going to close the account. Please confirm. Kindly assist with the below. Thanks in advance. Regards {cid:1 =C7BBF707DF9B04F18f9e8a93df9386909@db.com} Mayur Rathod KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Floor 1, Bl, DB Centre Mumbai Nirlon Knowledge Park, Western Express Highway, Goregaon East, Mumbai 400063. India From: Stewart Oldfield Sent: Wednesda October 31 2018 6:46 PM Subject: Re: Pending responses on rejection cases un.er t e SOUTHERN FINANCIAL RELATIONSHIP [I] EFTA01420982 Pretty sure we have already provided some of these. I still need to talk to the client about the remaining items. Have been away for 3 days in sales training with Brad, hope to call client today or tmw. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Securities offered through Deutsche Bank Securities Inc. On Oct 31, 2018, at 9:13 AM, Mayur Rathod <mayur.rathod@db.com> wrote: Classification: For internal use only EFTA01420983 Hi Rich, Hope all is well. Following up on the below email sent by Vijay regarding pending rejection items. Do we have any update on the same. Thanks & Regards <image001.gif> Mayur Rathod KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Floor 1, Bl, DB Centre Mumbai Nirlon Knowledge Park, Western Express Highway, Goregaon East, Mumbai 400063 India From: Vijay-A Sawant Sent: Friday. October 26. 2018 2:37 PM Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High EFTA01420984 Hi Stewart, For Hyperion LLC and .7 Epstein Virgin Islands Foundation Inc in rejected KYC 01977699, we require the following items mentioned in red fonts — (3) Please provide evidence of or a case comment regarding confirmation from the client that the information on the KYC is still accurate (i.e. ownership structure, signatories, etc. have not changed). The comment must include the name of the person spoken with and date this conversation occurred. (The attached internal email does not meet this requirement.) — No material confirmation email was attached to the KYC but will not suffice as per AFC. They need evidence of client (person) & date +confirming no material changes. (4) Operating Agreement for Hyperion Air LLC indicates the company is manager-managed and the initial manager was Lawrence Visoski. Is he still manager? Please provide evidence of the current management for this entity. — Please provide evidence confirming if Lawrence Visoski is still the initial manager at Hyperion Air LLC. We have re-checked the repositories and didn't find anything for this. (6) Please attach evidence of signing authority (Corporate authorization) for the brokerage account of J. Epstein Virgin Islands Foundation In., granting signing auth for Erika Kellerhals. — Will need DB Corporate Resolution for this brokerage account# N4G024950 (7) Per J. Epstein Virgin Islands Foundation Inc brokerage account documents, Limited Trading Authority granted to Paul Barrett. Please add as party to the KYC with all appropriate documentation and research. Please help in getting Limited Trading Authority document for Paul Barrett for this account. For Mort Inc covered in rejected KYC Case 01983253, the following is the only pending rejection item - EFTA01420985 1. In addition to the provided source of wealth information, please provide info and narrative as to the source of funds that will be deposited into the account. — Please provide info on Jeffrey Epstein's source of funds. We look forward to the required docs & info. Thanking you in advance for all your help. Kind Regards, <image001.gif> Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India From: Stewart Oldfield Sent: Thursday. October 25. 2018 11:32 PM Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP We've responded to many of these already. Please list only outstanding EFTA01420986 items in a single email. Thanks From: Vijay-A Sawant Sent: Thursday, October 25, 2018 10:50 AM To: Stewart Oldfield Subject: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Stewart, As discussed, we are awaiting responses to attached emails. For Plan D, you have mentioned that you are reaching out to the client, so just awaiting feedback on that. Please note the resolution of above cases will lead to completion of ALL accounts from this relationship for 2018. For Jockey Club, I will respond in a separate email. Let us know if any queries, thanks. Kind Regards, <image001.gif> EFTA01420987 Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Gore aon East, Mumbai - 400063 , India Deutsche Bank Group Park, Western Express Highway EFTA01420988