EFTA Document EFTA01415695

Subject: Your KYC has been rejected - Case #: 01946825 From: Vijay-A Sawant Date: Fri, 07 Sep 2018 10:10:02 -0400 To: Kshitij Golani Cc: Bradley Gillin Stewart Oldfield Hello Kshitij, I have worked on the below rejection points in above case, kindly refer to my comments in red below - Case #: 01946825 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee, LLC Customer Number: 00000550868 Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. — July 2018 statement verifying address attached. B — Nature of Business: What do they do with the artwork? Do they purchase it and re-sell it? Does the trust only hold artwork as assets? — Comments updated C — Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is none, I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what exactly is being discussed and approved. — Kindly refer to attached email from Kim Hart which addresses this point. Hope it is satisfactory. D — The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. - Updated E — The "How Was the Client(s) Introduced? How long has the RM personally known the client?" field talks about Zorro Management. Please amend. - Updated F — New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. — updated Hope this resolves all the issues in this case. I look forward to feedback, if any, thanks. EFTA01415695 Kind Regards, fcid:1 [email protected] Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India Tel. Mobile This email and any attachments have been transmitted by Deutsche CIB Centre Private Limited Mumbai, India (DB Centre), a Deutsche Bank AG affiliate/- group entity in its capacity as a service provider to Deutsche Bank AG and/- or its affiliates (Deutsche Bank). The email and attachments, if any, should not in any manner be construed as an offer or a solicitation for purchase or sale of any financial product or transaction on behalf of DB Centre or as personal or general investment advice. Without limitation, the email and attachments, if any, do not constitute a legal, investment, tax or other advice or recommendation. This email or anything contained in or attached to it does not form the basis of any contract or commitment. The contents of this email and its attachments, if any, are personal and confidential and solely for recipient's internal use and may not be reproduced or redistributed electronically or otherwise. Any unauthorized copying, disclosure or distribution of the e-mail and attachments is strictly forbidden. By continuing to keep this email or by opening the attached documents you agree to be bound by this restriction. If you do not agree to be bound by this restriction or are not the intended recipient please notify the sender that you have received it in error and EFTA01415696 delete this email and any attachments. Although DB Centre has taken reasonable steps to ensure that this communication and any attachments are free from any computer virus, you are advised to take your own steps to ensure that they are actually virus free. This e-mail may contain confidential and/or privileged information. If you are not the intended recipient (or have received this e-mail in error) please notify the sender immediately and destroy this e-mail. Any unauthorized copying, disclosure or distribution of the material in this e- mail is strictly forbidden. Privacy of communications In order to monitor compliance with legal and regulatory obligations and our policies, procedures and compliance programs, we may review emails and instant messages passing through our IT systems (including any personal data and customer information they contain), and record telephone calls routed via our telephone systems. We will only do so in accordance with local laws and regulations. In some countries please refer to your local DB website for a copy of our Privacy Policy. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. EFTA01415697