EFTA Document EFTA01435475

Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] From: Bradley Gillin ‹ > Date: Mon, 24 Sep 2018 11:02:42 -0400 To: Vijay-A Sawant Stewart Oldfield Cc: Mayur Rathod Richard Iarossi Classification: Confidential See attached COGS for Zorro. Regarding Section b of the CDD form for Southern Trust Company, Inc, the client has successfully included the entity type - 'Inc.' is a corporation. Thank you. Regards, Brad {cid:[email protected]} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Monday, September 24, 2018 10:28 AM EFTA01435475 To: Bradley Gillin ; Stewart Oldfield Cc: Ma ; Richard Iarossi Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Brad/Stewart, I kind reminder of the below query, just to reiterate, the pending items are listed below for your convenience — registry needs to SoS or COGS (dtd within last 6 months) from US Virgin Islands for Zorro Management LLC Section b of the attached CDD form for Southern Trust Company, Inc reflect the "Type of Entity", as indicated in the form Once the above items are received, we can submit this KYC# 01977695 to the next stages for AML approval, thanks. Kind Regards, {cid: } Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management 81, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. EFTA01435476 From: Vijay-A Sawant Sent: Wednesday, August 22, 2018 7:47 PM To: Bradley Gillin < Cc: Mayur Rathod ; ; Richard Iarossi Stewart Oldfield Subject: RE: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP [I] Importance: High Hello Brad, As per your attached no material confirmation for the above accounts and revised CDD Forms provided (in separate emails), we have launched KYC Case#01977695 for these accounts. We are in the middle of completing all the searches and reviewing adverse media, etc. We will advise if anything required. In the meantime, after review of all accounts, we confirm that we require the following item for this case — SoS or COGS (dtd within last 6 months) from US Virgin Islands registry for Zorro Management LLC Kindly forward the same, so we can push this case to the next stages at the earliest, thanks. Kind Regards, EFTA01435477 {cid: } 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 From: Vijay-A Sawant Sent: Monday, July 30, 2018 2:39 PM To: Bradley Gillin Cc: Mayur Rathod Subject: 2018 Periodic Review of High Risked Accounts Southern Trust Company, Inc (GCIS#483883), Epstein, Jeffrey E. (GCIS#483289) and Zorro Management, LLC (GCIS#550331) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Stewart Oldfield Hello Brad/Stewart, This review relates to above high risked three accounts due for remediation 08/31/2018. Upon review of the docs available in the repositories, I have completed the attached checklist, main RP's also listed below for reference — Acct Holder Southern Trust Company, Inc EFTA01435478 President, Sole Shareholder & Authorized Signatory - Jeffrey Epstein Vice President, Secretary & Authorized Signatory ----- Darren K. Indyke Treasurer Richard Kahn SOW Company Company Financial Trust Kindly advise whether are above identified RP's are correct or not and whether there are any material changes in this account? We require SoS extracted from British Virgin Islands website for the account holding entity. We are unable to extract the same as there is a cost involved with the request, so kindly provide the same. Note we already have the COE (Certificate of Existence) for this entity. The SoS is required so we can evidence that this entity is still registered with the authorities and is active. Regarding CDD form, already provided on this account, (also attached in this email for reference), please note that under section c, Jeffrey Epstein's legal address is incorrect. It seems they have provided the entity address here instead of Jeffrey's personal address. I am attaching Jeffrey's driver's license which confirms his personal address. Request you to kindly have that amended by the client & re-send revised form accordingly. Acct Holder — Epstein, Jeffrey E. SOW Company - Financial Trust Company Kindly advise if there are any material changes to this account? ID docs are in order, please advise in case any SOW company that requires inclusion, is missing? EFTA01435479 This account will be part of KYC of above entity. Acct Holder — Zorro Management. LLC Sole Member & Authorized Signature — Jeffrey Epstein Authorized Signatories — Darren D. Indyke, & Brice M Gordon Upon review, completed checklist attached for reference. Kindly advise if there are any material changes to this account? We require SoS extracted from US Virgin Islands website for the account holding entity. We are unable to extract the same as there is a cost involved with the request, so kindly provide the same. Note we already have the COE (Certificate of Existence) for this entity. The SoS is required so we can evidence that this entity is still registered with the authorities and is active. Regarding CDD form, already provided on this account, (also attached in this email for reference), please note that under section c, Jeffrey Epstein's legal address is incorrect. It seems they have provided the entity address here instead of Jeffrey's personal address. I am attaching Jeffrey's driver's license which confirms his personal address. Request you to kindly have that amended by the client & re-send revised form accordingly. I will launch KYC case for all above accounts upon your confirmation of material changes query above, thanks. Kind Regards, {cid: } Vijay Sawant EFTA01435480 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 EFTA01435481