EFTA Document EFTA01424976

Subject: RE: CDD Forms and Pr tanee certificate of good standing [C] [I] From: Vijay-A Sawant < Date: Wed, 25 Jul 2 To: Bradley Gillin Cc: Stewart Oldfiel Many thanks for the revised CDD form, Brad. As per attached, I am awaiting response from AML on some of the rejection points to resolve this rejection. Regards, {cid:1 Ç[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 Goregaon East, Mumbai - 400063 , India Tel. Mobile From: Bradley Gillin Sent: Wednesday, July 25, 2018 2:03 AM To: Vijay-A Sawant Cc: Stewart Oldfiel Subject: RE: CDD Forms and Prytanee certificate of good standing [C] [I] Classification: For internal use only Vijay, PROT0 See attached newer version of the FinCEN forms - the correct SS# were updated. Regards, Brad {cid:[email protected]} Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Bradley Gillin Sent: Monday, July 23, 2018 2:58 PM To: Vijay-A Sawant Cc: Stewart Oldfield Subject: FW: CDD Forms and Prytanee certificate of good standing [C] [I] Classification: For internal use only Vijay, See below and attached. COGS for Prytanee FinCEN Form for Southern Trust Company, Inc (signature verified) Thanks. PROT1 Regards, Brad From: Darren Indyke [mailto: Sent: Monday, July 23, 2018 2:13 PM To: Bradley Gillin Cc: Darren Indyke Subject: Re: CDD Forms and Prytanee certificate of good standing [C] Please see attache STC's CDD form and the Cert of Good Standing for Prytanee. DARREN K. INDYKE DARREN K. INDYKE, PLLC 575 Lexington Avenue, 4th Floor New York, N Telephone: Telecopier: Mobile: email: The information contained in this communication is confidential, may be attorney-client privileged, and is intended only for the use of the addressee. It is the property of Darren K. Indyke, PLLC. Unauthorized use, disclosure or copying of this communication or any part thereof is strictly prohibited and may be unlawful. If you have received this PROT2 communication in error, please notify us immediately by return e-mail, and destroy this communication and all copies thereof, including all attachments. Copyright of Darren K. Indyke, PLLC - 0 2018 Darren K. Indyke, PLLC - All rights reserved. On Jul 23, 2018, at 1:14 PM, Bradley Gitlin <[email protected]> wrote: Classification: Confidential Hi Darren, A FinCEN CDD form is required for Southern Trust Company, Inc. We initially thought the form would not be required for this type of entity - apologies. You are an authorized signer on this account. Also, to follow up on below, we require of certificate of good standing (within 6 months) for Prytanee. Thank you. Regards, Brad PROT3 <image001.gif> Bradley Gillin Vice President Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl New York, NY 10154 Tel. Fax Email Securities offered through Deutsche Bank Securities Inc. From: Stewart Oldfield Sent: Tuesday, July 17, 2018 5:26 PM To: Darren Indyke Cc: Richard Kahn ; Bradley Gitlin Subject: RE: CDD Forms and Prytanee certificate of good standing Even better news, there's nothing more that you need to do on the CDD forms. We will take them as is. Sorry for the back and forth. We do still need the certificate of good standing for Prytanee, however. Please send when you can. Thanks PROT4 From: Stewart Oldfield Sent: Monday, July 16, 2018 1:07 PM To: Darren Indyke Cc: Richard Kahn <a>; Bradley Gitlin Subject: RE: CDD Forms and Prytanee certificate of good standing Sorry for the inconvenience. These forms are new and have quickly become the bane of my existence. I don't think you need to reexecute. For now, please just reattach what you already sent (also attached to this email) into emails from your address and Jeffrey's. I simply need to receive them from you directly. Thanks From: Darren Indyke [mailto: Sent: Monday, July 16, 2018 11:15 AM To: Stewart Oldfield Cc: Darren Indyke >; Richard Kahn < Subject: Re: CDD Forms and Prytanee certificate of good standing Stewart, PROT5 We sent these to you over a month ago and asked whether you needed originals. We have discarded the hard copies. If they need to be re- executed, please re-send form and we will have them re-executed and notarized. DARREN K. INDYKE DARREN K. INDYKE, PLLC 575 Lexington Avenue, 4th Floor New York, New York 10022 Telephone: Telecopi • Mobile: email: The information contained in this communication is confidential, may be attorney-client privileged, and is intended only for the use of the addressee. It is the property of Darren K. Indyke, PLLC. Unauthorized use, disclosure or copying of this communication or any part thereof is strictly prohibited and may be unlawful. If you have received this communication in error, please notify us immediately by return e-mail, and destroy this communication and all copies thereof, including all attachments. Copyright of Darren K. Indyke, PLLC - 0 2018 Darren K. Indyke, PLLC - All rights reserved. PROT6 On Jul 16, 2018, at 10:56 AM, Stewart Oldfield wrote: <doc03237020180606141852.pdf> This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. <Fincen CDD Form Certification Regarding_Beneficial Owners of Legal Entit....pdf> PROT7