EFTA Document EFTA01387414

<image001.gif> Vijay Sawant NYC Case Representative Deutsche GB Centre Private Limited - Deutsche Bank Group Wealth Management Bi, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai 400063, India Tel. Mobile From: Vijay-A Sawant Sent: Friday, August 24, 2018 2:39 PM To: Stewart Oldfield < >; Richard larossi Cc: Mayur Rathod < >; Bradley Gillin < Subject: RE: 2018 Periodic Review of High Risked Accounts (GCIS I), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS the SOUTHERN FINANCIAL RELATIONSHIP jlj Importance: High Hello Richard, under We have received material change confirmation from Brad on below accounts as per attached email. So following are list of items pending on these accounts - • Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related to the grantor. The reason for this request is to evaluate whether we require CDD form for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts. • Neptune LLC — Please note that Richard Kahn has been added as manager as per Operating Agreement even though he was NOT added as an RP in the previously approved KYC Case#01790739. We will proceed to the next stages upon receipt of your confirmation of the above queries, thanks. Kind Regards, <image001.gif> Vijay Sawant NYC Case Representative Deutsche CM Centre Private Limited - Deutsche Bank Group Wealth Management • DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore on East, Mumbai - 400063, India Tel. Mobile + CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089972 CONFIDENTIAL SDNY_GM_00236156 EFTA01387414