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#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. • LSJE LLC — SOS from USVI website or COGS dated within the last 6 months. Thanks & Regards, Vijay Sawant NYC Case Representative Deutsche CM Centre Private limited - Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore on East. Mumbai - 400063 , India From: Vijay-A Sawant Sent: Tuesday, August 14, 2018 5:20 PM To: Bradley Gillin < Cc: Stewart Oldfield Subject: 2018 Periodic Review of Accts Southern Financial LLC (GCIS#483882) & LSJE, LLC (GCIS#499733) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Brad, This relates to above high risked accounts due for remediation Aug 2018. Upon review of all dots from the repositories and attachments, we have completed attached checklists for which please see assessment below — Acct Holder — Southern Financial, LLC (SFL) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052450 CONFIDENTIAL SDNY_GM_00198634 EFTA01362830