EFTA Document EFTA01425540

Subject: Re: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP From: Stewart Oldfield ‹ > Date: Tue, 04 Sep 2018 08:57:08 -0400 To: Vijay-A Sawant <[email protected]> Cc: Richard Iarossi <[email protected]>, Mayur Rathod <[email protected]>, Bradley Gillin <[email protected]> Thanks. I'm back in the office late tmw or Thursday. Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. 212 454-2881 Mobile 917 209-0686 Email Securities offered through Deutsche Bank Securities Inc. On Sep 4, 2018, at 6:19 AM, Vijay-A Sawant <[email protected]> wrote: > Hi Stewart, We have separated Mort Inc from this case (01977700), as requested so you can approve Gratitude today. We have completed all the searches and assigning this case to you for your review. Advise if any changes required, or else, please forward to the AML team for final approval, thanks. Kind Regards, EFTA01425540 <image001.gif> 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. -Ft Mobile [email protected] From: Stewart Oldfield Sent: Friday, August 31, 2018 6:33 PM To: Vijay-A Sawant <[email protected]> Cc: Richard Iarossi <[email protected]>; Mayur Rathod <[email protected]>; Bradley Gillin <[email protected]> Subject: RE: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP Please separate the cases, then. We need Gratitude taken care of to open a new account. Mort does not have that same urgency. I'm here if you want to call. Thanks From: Vijay-A Sawant Sent: Friday, August 31, 2018 8:38 AM To: Stewart Oldfield Cc: Richard Iarossi <[email protected]>; Mayur Rathod <[email protected]>; Bradley Gillin <[email protected]> Subject: RE: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High EFTA01425541 Hi Stewart, Because both accounts Mort & Gratitude are part of the same KYC (01977700), we require Mort COGS or SoS, so this case can be submitted. SoS is the screenshot of this entities registration confirmation from the state registry website. Alternatively you can provide us the COGS dated within the last 6 months for Mort. This is the only pending item for this case, thanks. Kind Regards, <image001.gif> 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. +91 22 6181-1485 Mobile [email protected] From: Stewart Oldfield Sent: Friday, August 31, 2018 5:52 PM To: Vijay-A Sawant <[email protected]> Cc: Richard Iarossi <[email protected]>; Mayur Rathod <[email protected]>; Bradley Gillin <[email protected]> Subject: Re: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP Do we need Mort to complete Gratitude? Also, what is SOS? Thanks EFTA01425542 Stewart Oldfield, CFA, CAIA Director Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, New York, NY 10154 Tel. 212 454-2881 Mobile 917 209-0686 Email Securities offered through Deutsche Bank Securities Inc. On Aug 31, 2018, at 6:59 AM, Vijay-A Sawant <[email protected]> wrote: Good Morning Stewart, After receipt of the COGS for Gratitude America in attached email, we confirm that only the following items are pending for KYC Case#01977700 EFTA01425543 SOS & COGS for Mort Inc dated in last 6 months. Entity domiciled in US Virgin Islands. Once the above item is received, we will submit this case to the AML team for approval, thanks. Regards, <image001.gif> 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. +91(22)6181-1485 Mobile [email protected] From: Vijay-A Sawant Sent: Wednesday, August 01, 2018 5:37 PM To: Bradle Gillin <[email protected]>; Stewart Oldfield Cc: Mayur Rathod <[email protected]> Subject: 2018 Periodic Review of accts Mort, Inc (GCIS#487266) and Gratitude America Ltd (GCIS#499760) under the SOUTHERN FINANCIAL RELATIONSHIP Importance: High Hello Brad/Stewart, This review relates to review of above high-risked accounts due for remediation 8/31/2018. EFTA01425544 Upon review of the docs available from repositories, we have completed attached checklists, identifying RP's below. List of pending items listed below — Acct Holder — Mort, Inc Director, Sole Shareholder & Authorized Signatory — Jeffrey Epstein Director, Vice President & Authorized Signatory — Darren Indyke Director & Treasurer — Richard Kahn Please confirm material changes to this account and whether RP's identified above are correct or not? We were unable to locate COI for this entity. Additionally we were unable to extract SoS from the US Virgin Islands registry website. Alternatively, kindly provide COGS for this entity, dated within the last 6 months. Acct Holder — Gratitude America Ltd President & Authorized Signatory — Jeffrey Epstein Director & Authorized Signatory — Richard Kahn Director, Treasurer & Authorized Signatory — Darren Indyke Please confirm material changes to this account and whether RP's identified above are correct or not? Please note that in some docs, Richard Kahn reflects in Self Certification form (signed in 2016) and Form 990 (also from 2016), both attached for reference. However Richard does not appear in the DB Non Profit Resolution signed in 2015. I have attached this doc as well for reference. Additionally from the last approved KYC 01790739 (from Aug 2017), Richard does not appear as an RP for this entity. Hence checking, kindly advise accordingly. We were unable to locate COI for this entity. Additionally we were EFTA01425545 unable to extract SoS from the US Virgin Islands registry website. Alternatively, kindly provide COGS for this entity, dated within the last 6 months. We will proceed to launch this case upon your confirmation of the material changes onabove accounts, thanks. Kind Regards, <image001.gif> 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. +91.11.1 Mobile [email protected] <mime-attachment> EFTA01425546