EFTA Document EFTA01299275

Vijay-A Sawant From: Velmir Vejzovic Sent: Friday, June 01, 2018 7:00 PM To: Vijay-A Sawant Cc: PWMUS AMLKYC Subject: CLEARED: Fircosoft Alert _ Darren K Indyke [I] Attachments: Fircosoft_alert_Darren K Indyke.pdf Follow Up Flag: Follow up Flag Status: Flagged Classification: For Internal use only Hi Vijay, AML Compliance has reviewed the Fircosoft alert generated on 5/31/18 for Darren Indyke, Director at Southern Trust Company Inc., indirect owner of Prytanee, LLC., existing client of the Private Bank since 2017. AML Compliance clears the alert from an AML perspective as the alert subject matter contained in the current alert has been previously reviewed and cleared by AML Compliance on October 31, 2017. The previous clearance applies to the current alert, please attach prior clearance and this email to the KYC. All the best, Velmir Vejzovic Velmir Vejzovic Associate I AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2nd floor Jacksonville, Florida 32256. USA Tel. +1(904)596-1997 Email [email protected] From: Vikram-D Singh On Behalf Of PWM BIS-Research Sent: Thursday, May 31, 2018 10:37 AM To: Vijay-A Sawan Cc: PWMUS AMLKYC PWM BIS-Research <[email protected]> Subject: Fircosoft Alert _ Darren K Indyke Hello, Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: 1 SDNY_GM_00065115 CONFIDENTIAL — PURSUANT TO FED. CQN Fe) DENTIAL DB-SDNY-0027940 EFTA_00 175615 EFTA01299275 Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC Thank you. Tliram"Jinyh- Analyst I PVvM US Operations DBOI Global Services Private Limited COO Wealth Management Operations A-I & A-2, Evolve - Mahindra Technology Park, Inside Mahindra Woad City - SE2, 302029 Jaipur, India s vikram.d singh(i5Vb com hiAp Please consider the environment before printing this e-mail 2 SDNY_GM_00065116 CONFIDENTIAL - PURSUANT TO FED. ClaN Fe) DENTIAL DB-SDNY-0027941 EFTA_00175616 EFTA01299276