EFTA Document EFTA01369253

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Unknown

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Dept. of Justice

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sd-10-EFTA01369253

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Integrity

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EFTA Disclosure

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For Plan D LLC covered in KYC 01977695, following is the only pending rejection item which requires resolution — c. Please identify the legal reps and update the entity details page to reflect this information. The Operating Agreement states the company is manager-managed. An individual named Lawrence Visoski is identified as the initial manager. Is he still the manager of the company? Legal reps must be identified, verified, and added as parties to the KYC. Diligence searches are also required for legal reps. — Kindly provide the relevant doc for this, please? In your last response on this, you had stated "Reaching out to client. Will norm " We look forward to the required does & info. Thanking you in advance for all your help. Kind Regards, Vijay Sawant KYC Case Representative Deutsche CM Centre Private limited - Deutsche Bank Group Wealth Management BI, DB Centre Mamba!, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai 400063, India From: Stewart Oldfield Sent: Thursday, October 25, 2018 11:32 PM To: Vijay-A Sawant < Cc: Bradley Gillin < > >; Richard larossi < Mayur Rathod < >; Vinita Advani Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP We've responded to many of these already. Please list only outstanding items in a single email. Thanks From: Vijay-A Sawant Sent: Thursday, October 25, 2018 10:50 AM To: Stewart Oldfield < Cc: Bradley Gillin < >; Richard larossi < >; Alka Babu <I >; Mayur Rathod >; Vinita Advani Subject: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High ; Alka Babu < >; Hi Stewart, As discussed, we are awaiting responses to attached emails. For Plan D, you have mentioned that you are reaching out to the client, so just awaiting feedback on that. Please note the resolution of above cases will lead to completion of ALL accounts from this relationship for 2018. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0061423 CONFIDENTIAL SDNY_GM_00207607 EFTA01369253

Related Documents (6)

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Subject: RE: Assistance required in resolving points - KYC #01977694[I] From: Alka Babu e > Date: Thu, 01 Nov 2018 11:13:18 -0400 To: Bradley Gillin Cc: Vinita Advani Vijay-A Sawant Stewart Oldfield Richard Iarossi Classification: For internal use only Hi Brad, I am referring to the KYC # 01977694. Apologies for the confusion, subject case number corrected. Kind regards, {cid: } Alka Babu KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth M

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Subject: RE: Assistance required in resolvin points - KYC #01977695 [I] From: Stewart Oldfield Date: Wed, 24 Oct 2018 09:49:33 -0400 To: Bradley Gillin Richard Iarossi Let's get a list of things we need confirmed by JE's team and set up a call with Rich Kahn. He knows we're plowing through all of this remediation. From: Bradley Gillin Sent: Wednesday, October 24, 2018 9:44 AM To: Stewart Oldfield ‹ > Subject: Fwd: Assistance required in resolving points - KYC #01977695 [I] Regards, B

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Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Vijay-A Sawant Date: Fri, 26 Oct 2018 05:06:47 -0400 To: Stewart Oldfield Cc: Bradley Gillin Richard Iarossi Alka Babu < Mayur Rathod < Vinita Advani Hi Stewart, For Hyperion LLC and .7 Epstein Virgin Islands Foundation Inc in rejected KYC 01977699, we require the following items mentioned in red fonts — (3) Please provide evidence of or a case comment regarding confirmation from the c

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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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Subject: FW: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Stewart Oldfield ‹ > Date: Mon, 29 Oct 2018 18:00:17 -0400 To: Richard Iarossi Cc: Bradley Gillin Rich, Let's get to the point where you can lead a call with Rich Kahn tmw to discuss the outstanding issues. When you get a sense of when you can do the call, let me know and I will step away from the training to do it. Thanks From: Vijay-A Sawant Sent: Friday, October 26, 2018 5:07 AM To:

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Subject: FW: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP From: Stewart Oldfield ‹ > Date: Fri, 26 Oct 2018 11:18:58 -0400 To: Bradley Gillin Richard Iarossi We got the limited trading authority doc already, right? Any other of these look like they're already taken care of? From: Vijay-A Sawant Sent: Friday, October 26, 2018 5:07 AM To: Stewart Oldfield ‹ > Cc: Bradley Gillin <[email protected]>; Richard Iarossi <[email protected]>; Alka Bab

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