EFTA Document EFTA01363705

From: Bradley Gillin Sent: Tuesday, September 11, 2018 6:23 PM To: Vijay-A Sawant ‹ ; Stewart Oldfield Cc: Richard larossi Mayur Rathod < Subject: RE: Assistance Required in Resolving Rejection Points KYC tt - 01977700 (I) Classification: For Internal use only Hi Vijay, Please send the KYC policy, specifically for a Foundation regarding below. Thanks. Kindly confirm whether this donation constitutes 10% or more of the Gratitude's total assets? If yes. we would require constitutional does for BV70. LLC 0.e constitutional does. formation docs, ownership details etc) Regards. Brad Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl New Yo NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Vijay-A Sawant Sent: Monday, September 10, 2018 8:21 AM To: Stewart Oldfield Cc: Bradley Gillin < >; Richard larossi Subject: Assistance Required in Resolving Rejection Points KYC # - 01977700 Importance: High >; Mayur Rathod Good Morning Stewart, We are in receipt of following rejection points for Gratitude America Ltd, see my comments in red fonts - Your KYC has been rejected. Case #: 01977700 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Gratitude America Ltd Customer Number: 00000499760 Reason for Rejection:The case was not reviewed in its entirety due to the below issues. Once this has been resolved, we will review the case. This will now be treated as an EDR. 1) As per the 2015 Form 990 (attached to the KYC by AFC), BV70 LLC donated 510MM to this foundation and thus making them a "significant Donor". We need to fully KYC this entity. Please provide the required documentation and information. - As per attached Form 990 (from 2015), we can see that entity BV70, LLC donated $10 million to CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053880 CONFIDENTIAL SDNY_GM_00200064 EFTA01363705