EFTA Document EFTA01435350

Subject: Assistance Required in Rejection of KYC Case#01977698 From: Vijay-A Sawant ‹ > Date: Mon, 24 Sep 2018 04:56:06 -0400 To: Bradley Gillin Stewart Oldfield Cc: Richard Iarossi Mayur Rathod Vinita Advani Daphne Cales Good Morning Stewart, Hope you are well!! We require your assistance today on rejection point 9, highlighted in yellow below — Case #: 01977698 Relationshi : SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Customer Number: 00000489505 Reason for Rejection:1) Please provide ID for . (KG — RESOLVED) 2) Please provide full signing authority document for Neptune LLC. (KG — RESOLVED) 3) Please re-run research for Jeffrey Epstein & Erike Kellerhals with the country as Virgin Islands, US. (KG - RESOLVED) 4) The google search for Darren Indyke has a few negative articles regarding Jeffrey Epstein's foundation and also has court cases against Jeffrey Epstein. Please address them under section 4D "Please summarize any negative results from the database searches indicated above:" (KG — RESOLVED) 5) Please indicate where we can locate the IDs for Darren Indyke and Richard D Kahn. (KG — RESOLVED) 6) Please provide the FinCEN CDD Form. (KG — RESOLVED) 7) Due to recent DB Force enhancements, all structured country fields (i.e., those converted to drop downs and multi pick lists) must be populated in the KYC Wizard. Please ensure these fields are completed for all KYC parties. (KG — RESOLVED (will know if it is indeed resolved when we try to approve)) EFTA01435350 8) Please explain in detail the purpose of each account. You can add this in the "What is the purpose of the account. (KG — RESOLVED) 9) Please provide SOW verification. (KG — UNRESOLVED. Please provide SOW verification for Karyna Shuliak. Based on Lexis Nexis, she holds a dentist license. Does she practice? Does she still work at JSC Interiors?) As per the last approved KYC (1790724) for Karyna Shuliak, her only SOW company is an interior designing firm called JSC Interiors LLC, on whom we have done all research. However as per the latest Research report ran on Karyna, shows that she holds a Dentist License from 2015 in CA & FL states of US. This report also evidences that she is renewing her license and her listed address, DOB & first 5 numbers of the SSN number matches with her profile, refer Pgs 4 & 5 from the report. Last approved KYC (1790724) lists Karyna's payslip from JSC Interiors LLC for the month of June 2017 as SOW evidence, also attached in this email for reference. In light of the above, kindly provide the following : More info on Karyna's dental practice, i.e. please confirm whether her dental practice contributes 25% or more of her income, from SOW perspective, so researches can be run accordingly. Finally, kindly confirm that she continues to work for JSC Interiors LLC and this is still part of her SOW? Request you to kindly provide response to this query at the earliest convenience so we can re-submit this case at the earliest, as this is the only unresolved rejection point in this case, thanks. Kind Regards, {cid:1 [email protected]} Vijay Sawant EFTA01435351 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. EFTA01435352