EFTA Document EFTA01362826

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Dept. of Justice

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sd-10-EFTA01362826

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Regards, 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 Gor 3, India Tel. Mo From: Vijay-A Sawant Sent: Friday, August 24, 2018 5:28 PM To: Richard larossi Cc: Bradley Gillin tewart Oldfield Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [Ij Importance: High Hello Rich, For the above accounts, we have received confirmation from Brad that there are no material changes to these accounts in another email. We have launched KYCCase#01977703 for these accounts and following are pending items - • Southern Financial LLC — One of the RP's Jean Anne Brennan Wiebracht has incorrect name reflected in Corp Resolution and Signature Card from 2017. The name reflecting there is Jeanne Brennan whereas her driving license, attached for reference reflects Jean Anne Brennan. Could we request for an updated Corp Resolution with correct name, please? Note the Operating agreement reflects the name Jeanne Brennan). • Southern Financial LLC - SOS from USVI website or COGS dated within last 6 months. • ISJE LLC — SOS from USVI website or COGS dated within the last 6 months. Thanks & Regards, Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Umited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East. Mumbai 400063, India Tel. From: Vijay-A Sawant Sent: Tuesday, August 14, 2018 5:20 PM To: Bradley Gillin CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0052445 CONFIDENTIAL SDNY_GM_00198629 EFTA01362826

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Related Documents (6)

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EFTA Document EFTA01362830

vilaV • •,:rAraniO;(1h corn From: Vijay-A Sawant Sent: Friday, August 24, 2018 5:28 PM To: Richard larossi Cc: Bradley Gitlin tewart Oldfield Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I) Importance: High Hello Rich, For the above accounts, we have received confirmation from Brad that there are no material changes to these accounts in another email. We have launched KYCCase#019777

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Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Vijay-A Sawant Date: Fri, 24 Aug 2018 07:57:36 -0400 To: Richard Iarossi Cc: Bradley Gillin Stewart Oldfield Hello Rich, For the above accounts, we have received confirmation from Brad that there are no material changes to these accounts in another email. We have launched KYCCase#01977703 for these accounts and following are pend

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Subject: RE: Vijay, please call me when you can [I] From: Vijay-A Sawant Date: Mon, 17 Dec 2018 06:57:50 -0500 To: Stewart Oldfield Cc: Vinita Advani Bradley Gillin Classification: For internal use only Many thanks for the confirmation, Stewart!! I have marked the Caterpillar account accordingly, on our tracker. I confirm that this is the only account which was due for remediation in 2019 from this relationship, thanks. Kind Regards, {cid:1 [email protected]}

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Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] [C] From: Liam Osullivan ‹ > Date: Fri, 21 Sep 2018 13:28:03 -0400 To: Davide-A Sferrazza ‹ > Classification: Confidential I do not recognize the account code. Do you know what it is? Thanks From: Stewart Oldfield Sent: Friday, September 21, 2018 1:20 PM To: Liam Osullivan Cc: Bradley Gillin ; Richard Iarossi Subject: FW: 2018 Period

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EFTA Document EFTA01431978

Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP [I] From: Stewart Oldfield < › Date: Fri, 21 Sep 2018 13:20:00 -0400 To: Liam Osullivan Cc: Bradley Gillin Richard Iarossi Do you recognize account code STRUPDT0118001? Thanks From: Vijay-A Sawant Sent: Friday, September 21, 2018 10:18 AM To: Richard Iarossi Cc: Bradley Gillin ; Mayur Rathod Subject: RE: 2018 Periodic Review of Accts S

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Subject: RE: Assistance re uired in resolving points - KYC #01977695 [I] From: Bradley Gillin Date: Thu, 01 Nov 2018 11:09:40 -0400 To: Alka Babu Cc: Vinita Advani < Vijay-A Sawant Stewart Oldfield Richard Iarossi Classification: For internal use only The case referenced was approved. I believe you are talking about another entity. Regards, Brad {cid:[email protected]} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York,

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