EFTA Document EFTA01384756

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Dept. of Justice

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sd-10-EFTA01384756

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EFTA Disclosure

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B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Friday, August 24, 2018 5:28 PM To: Richard larossi Cc: Bradley Gillin < >; Stewart Oldfield < > Subject: FW: 2018 Periodic Review of Accts Southern Financial LLC ) & LSJE, LLC ( ) 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 KYC Case Representative Deutsche CIB Centre Private Limited - Deutsche Bank Group Wealth Management B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063, India Tel. Mobile 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 ( ) & LSJE, LLC under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hi Brad, This relates to above high risked accounts due for remediation Aug 2018. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085259 CONFIDENTIAL SDNY_GM_00231443 EFTA01384756

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