EFTA Document EFTA01423588

Subject: RE: Gratitude [I] From: Stewart Oldfield Date: Fri, 30 Nov 2018 13:23:47 -0500 To: Emily Craig <= :. That's a really well worded letter. Perfect. Let me follow up Monday and then send From: Emily Craig Sent: Friday, November 30, 2018 12:42 PM To: Stewart Oldfield <M > Subject: RE: Gratitude [I] 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 EFTA01423588 Tel: Mobile: WM Mercury on myDB From: Stewart Oldfield Sent: Friday, November 30, 2018 10:27 AM To: Emily Craig < 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 e > 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? EFTA01423589 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 Tel: Mobile: WM Mercury on myDB From: Stewart Oldfield Sent: Friday, November 30, 2018 9:28 AM To: Vijay-A Sawant < Cc: Richard Iarossi ; Vinita Advani ; Emily Craig Subject: RE: Gratitude ; Mayur Rathod ; Daphne Cates EFTA01423590 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 To: Stewart Oldfield Mayur Rathod Cc: Richard Iarossi ; Bradle Gitlin ; Vinita Advani Subject: RE: Gratitude Importance: High Good Morning Stew, Any new updates from Gratitude? Kind Regards, fcid:1 [email protected] Vijay Sawant ; Daphne Cales KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. Mobile +91 EFTA01423591 From: Stewart Oldfield Sent: Thursday, November 01, 2018 9:37 PM To: Mayur Rathod Cc: Richard Iarossi Bradley Gillin ; Vinita Advani ; Vijay-A Sawant ; Daphne Cales Subject: Gratitude Client hopes to have an answer on Gratitude by Nov. 15th. Thanks From: Stewart Oldfield Sent: Thursday, November 01, 2018 10:35 AM To: Mayur Rathod Cc: Richard Iarossi ; Vinita Advani Sawant Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP [I] Bradle Gillin ; Vijay-A No update on Gratitude. I expect to have one today From: Mayur Rathod Sent: Thursday, November 01, 2018 10:34 AM To: Stewart Oldfield Cc: Richard Iarossi Sawant Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP [I] ; Vinita Advani Bradle Gillin ; Vijay-A EFTA01423592 Classification: For internal use only Hi Stew, We did get LPOA for Paul Barrett, but for other accounts. 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 fcid:1 [email protected] 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 Tel.: Email: EFTA01423593 From: Stewart Oldfield Sent: Wednesday, October 31, 2018 6:46 PM To: Mayur Rathod Cc: Richard Iarossi Sawant < Subject: Re: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP [I] ; Vinita Advani Bradle Gitlin ; Vijay-A 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 Tel. Mobile Email EFTA01423594 Securities offered through Deutsche Bank Securities Inc. On Oct 31, 2018, at 9:13 AM, Mayur Rathod wrote: Classification: For internal use only 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, B1, DB Centre Mumbai Nirlon Knowledge Park, Western Express Highway, Goregaon East, Mumbai 400063, India Tel.: Email: EFTA01423595 From: Vijay-A Sawant Sent: Friday, October 26, 2018 2:37 PM To: Stewart Oldfield Cc: Bradley Gillin ; Alka Babu ; Vinita Advani Subject: RE: Pending responses on rejection FINANCIAL RELATIONSHIP Importance: High Hi Stewart, Richard Iarossi ; Mayur Rathod cases under the SOUTHERN 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 EFTA01423596 (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 - 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 B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. Mobile +91 EFTA01423597 From: Stewart Oldfield Sent: Thursday, October 25, 2018 11:32 PM To: Vijay-A Sawant < Cc: Bradley Gillin < ; Alka Babu ; Vinita Advani Subject: RE: Pending responses on rejection FINANCIAL RELATIONSHIP ; Richard Iarossi ; Mayur Rathod cases under the SOUTHERN We've responded to many of these already. Please list only outstanding items in a single email. Thanks From: Vijay-A Sawant Sent: Thursday, October 25, 2018 10:50 AM To: Stewart Oldfield Cc: Bradley Gillin ; Alka Babu ; Vinita Advani Subject: Pending responses on rejection RELATIONSHIP Importance: High Hi Stewart, ; Richard Iarossi ; Mayur Rathod cases under the SOUTHERN FINANCIAL 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. EFTA01423598 For Jockey Club, I will respond in a separate email. Let us know if any queries, thanks. 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 Goregaon East, Mumbai - 400063 , India Tel. Mobile +91 EFTA01423599