EFTA01418944

Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] From: Wayne Salit Date: Tue, 06 Jan 2015 18:10:50 -0500 To: Michael Koplowitz Cc: John Juul Classification: For internal use only Michael — Here is the latest e-mail from the business. Please let me know if you have been able to reach Ted Gonedes on this matter. In addition, I cc'd you on an e-mail I sent to WM recommending that this matter be discussed at the Americas Rep Risk Committee. However, I have not heard back from WM. Would you mind if I told Courtney that neither you nor I are comfortable from a Rep Risk perspective and asked you to reach out to Ted for his view on this matter. Let me know. Kind Regards, Wayne Salit From: Dmitri Saks Sent: Monday, January 05, 2015 12:01 PM To: Courteney B Fornal Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman; Anastasia Pringle Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01418944 Classification: For internal use only Courtney, This requires a discussion between the AML and the Business Senior management. The delay is due to the challenge in coordinating this effort because of the Holiday schedule. Thanks and regards, Dmitri fcid:image003.png@OlD028DF.3B7C14F01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street, New York, NY 10005-2836 Tel: E-mail {cid:image002.gif@O1CFDCA6.64B2B930} From: Courteney B Fornal Sent: Monday, January 05, 2015 10:37 AM To: Dmitri Saks; Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only EFTA01418945 Dmitri- Can you tell us why this is taking so long? It's been with AML with several weeks now, correct? {https://brandportal.intranet.db.com/img/modules/logo.gif} Courteney Fornal Global Markets Complex Equity Deutsche Bank Securities Inc. 60 Wall Street New York, NY 10005-2836 Direct Desk Fax + Email fhttps://brandportal.intranet.db.com/img/modules/claim.gifl eDisclaimer http://onn.theocc.com/publications/risks/riskstoc.pdf From: Dmitri Saks Sent: Monday, January 05, 2015 10:33 AM EFTA01418946 To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; Courteney B Fornal; US-CB S-AML; Mark Whyman Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Anastasia, Yes, it is still pending. I should be able to provide a more definite answer tomorrow. Thanks and regards, Dmitri fcid:image002.png@OlD028D2.F7DE52501 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wa -- 005-2836 Tel: E-ma fcid:image002.gif@O1CFDCA6.64B2B9301 From: Anastasia Pringle Sent: Monday, January 05, 2015 10:27 AM To: Dmitri Saks; Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High EFTA01418947 Classification: For internal use only Dmitri, Please advise on the status of this, is this request still pending with AML? Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Anastasia Pringle Sent: Monday, December 22, 2014 5:44 PM To: Courteney B Fornal; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High EFTA01418948 Classification: For internal use only Dmitri, Please speak with Courteney as she would be the responsible party for this request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, 2256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: {https://brandportal.intranet.db.com/img/modules/claim.gif} From: Courteney B Fornal Sent: Monday, December 22, 2014 5:42 PM To: Anastasia Pringle; US-CB S-AML; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01418949 Classification: For Internal Use Only Anastasia, that would be me. What is the issue? https://ederivatives.db.com/static/disclaimer.html From: Anastasia Pringle Sent: Monday, December 22, 2014 05:23 PM To: US-CB S-AML; Courteney B Fornal; Mark Whyman Cc: Ged Account-Opening; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Courteney/Mark, Who is the head of the business for this request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: EFTA01418950 fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Monday, December 22, 2014 5:18 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hello Anastasia, Could you please help to identify the Head of the Business through which this client is being onboarded. AML Compliance needs to have a discussion prior to approving this account. Thank you. {cid:image003.gif@OlD01E0B.CE2B92A0} US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:image004.gif@OlD01E0B.CE2B92A0} {Inactive hide details for Anastasia Pringle---12/22/2014 10:43:18 AM--- Classification: For internal use only Good morning,}Anastasia Pringle---12/22/2014 10:43:18 AM---Classification: For internal use only Good morning, {cid:image014.png@OlD01E0C.039E9630} From: {cid:image015.png@OlD01E0C.039E9630} EFTA01418951 Anastasia Pringle/db/dbcom@DBCOEX {cid:image014.png@OlD01E0C.039E9630} To: {cid:image015. 0} US-CB S-AML/db/ {cid:image014.png@OlD01E0C.039E9630} Cc: {cid:image015.png@OlD01E0C.039E9630 Manikandan Muralidharan/db/- ningidb {cid:image014.png@OlD01E0C.039E9630} Date: {cid:image015.png@OlD01E0C.039E9630} 12/22/2014 10:43 AM {cid:image014.png@OlD01E0C.039E9630} Subject: {cid:image015.png@OlD01E0C.039E9630} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01418952 Classification: For internal use only Good morning, Do we have an update on the below request. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa Suite 500 32256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks On Behalf Of US-CB S-AML Sent: Friday, December 19, 2014 3:03 PM To: Anastasia Pringle Cc: Ged Account-Opening; Manikandan Muralidharan; US-CB S-AML Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Anastasia, The case has been submitted to the next level of approval. Thank you, {cid:image003.gif@OlD01DD4.0DBF56A0} US CB&S AML Compliance AML Compliance EFTA01418953 Deutsche Bank Securities Inc. Compliance {cid:image004.gif@OlD01DD4.0DBF56A0} {Inactive hide details for Anastasia Pringle---12/19/2014 02:43:57 PM--- Classification: For internal use only Hi Dmitri,}Anastasia Pringle---12/19/2014 02:43:57 PM---Classification: For internal use only Hi Dmitri, {cid:image006.png@OlD01DD4.0DBF56A0} From: {cid:image007.png@OlD 1DD4. DBF AO} Anastasia Pringle/db/ {cid:image006.png@OlD01DD4.0DBF56A0} To: {cid:image007.png@OlD01DD4 Manikandan Muralidharan/db/ Dmitri Saks/db/dbcom, {cid:image006.png@OlD01DD4.0DBF56A0} Cc: {cid:image007.png@OlD01DD4.0DBF56A0 Ged Account-Opening/d US-CB S-AML/db {cid:image006.png@OlD01DD4.0DBF56A0} Date: {cid:image007.png@OlD01DD4.0DBF56A0} 12/19/2014 02:43 PM {cid:image006.png@OlD01DD4.0DBF56A0} Subject: {cid:image007.png@OlD01DD4.0DBF56A0} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01418954 Classification: For internal use only Hi Dmitri, Can you please advise on the current status? Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Manikandan Muralidharan Sent: Friday, December 19, 2014 10:32 AM To: Dmitri Saks Cc: Ged Account-Opening; US-CB S-AML; Anastasia Pringle Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : EFTA01418955 Southern Financial LLC [I] Classification: For internal use only Hi Dmitri, We have got the alert review for the RDC alert received on Richard Kahn. During the alert review, we have found that these alerts are false positive. Please refer to the below mail with regard to Alert review for your reference. Please let us know, if anything is required from our end. Thanks and Regards, Manikandan Muralidharan fcid:image001.gif@OlD01B9A.2E2849101 Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Ban'alore India Tel. Mobil Email Backup details - Ganesh Balaji Bharath-Kumar MS For Escalations please contact Level 1 - Karthik Level 2 - Balaji {cid:image002.gif@OlD01B9A.2E284910} Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:53 PM fcid:image003.png@OlD01B9A.2E2849101 From: {cid:image004.png@OlD01B9A.2E284910} Syed-Anzar Ahmed/db/dbcom EFTA01418956 {cid:image003.png@OlD0189A.2E284910} To: {cid:image004.png@OlD0189 Manikandan Muralidharan/dbilig. {cid:image003.png@OlD0189A.2E284910} Cc: {cid:image0 84910} CAGNY NCA/db Suresh-x Salimath/db Anantesh Anand/db {cid:image003.png@OlD0189A.2E284910} Date: {cid:image004.png@OlD0189A.2E284910} 12/19/2014 08:42 PM {cid:image003.png@OlD0189A.2E284910} Subject: {cid:image004.png@OlD0189A.2E284910} Re: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent [I] EFTA01418957 Classification: For internal use only Hello All, Please find the details below: NO ESCALATION REQUIRED 1) Richard Kahn Alert #1: Alert is False Positive. Mismatch Individuals. Our client name is Richard Kahn who is controlling person of Southern Financial LLC. Whereas, Alerted Individual name is Richard Jeffrey Kahn who is Wells Fargo Employee and was fined for unregistered activity. http://www.bizjournals.com/southflorida/search?- q=9622Jeffrey+Kahn9622&title=963Fiframe963Dtrue&width=959625&height=959625+title963- D+title963D+title963D+title963D9620title= Alert #2: Alert is False Positive. Mismatch Individuals. Alerted Individual Name is Richard Kahn who violated NYSE Arca Equities Rule by failing to provide testimony as requested by FINRA. https://www.google.co.in/url?url=https://www.nyse.com/pdfs/12- ARCA-3.pdf&rct=j&frm=l&q=&esrc=s&sa=U&ei=MD6UVIedDsWPuAT924DoCQ&ved=0CBMQFjA- A&usg=AFQjCNH6TerGChaK_BRHqY5DUNOCAX7ziw Alert #3: Alert is False Positive. Alerted Individual Richard L Kahn is not related to any entity and is a drug dealer as per internal research. Hence no escalation required. NOTE: PCR is NO HIT Kind regards, fcid:image001.gif@OlD01B9A.2E2849101 Syed-Anzar Ahmed EFTA01418958 Process Supervisor I COB - RDC LOOKBACK TEAM DBOI Global Services Private Limited Global Business Services VTP,El- tr•ni it H• r R , 560100 Bangalore, India Tel. Mobil: Email {cid:image002.gif@OlD0169A.2E284910} {Inactive hide details for Manikandan Muralidharan---12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team, Req}Manikandan Muralidharan---12/19/2014 08:23:07 PM---Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard K {cid:image003.png@OlD01B9A.2E284910} From: {cid:image004.png@OlD0169A.2E284910} Manikandan Muralidharan/db/dbcom {cid:image003.png@OlD01B9A.2E284910} To: {cid:image004. n 01D01694.2E284910} CAGNY NCA/db {cid:image003.png@OlD01B9A.2E284910} Cc: {cid:image004. n 01D01B9A.2E284910} Sle Syed-Anzar Jofin Varghese/db Kameshwaran Ns/db Suresh- Sagar Anantes {cid:image003.png@OlD01B9A.2E284910} Date: {cid:image004.png@OlD01B9A.2E284910} 12/19/2014 08:23 PM EFTA01418959 fcid:image003.png@OlD01B9A.2E2849101 Subject: {cid:image004.png@OlD01B9A.2E284910} Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC - RDC alert Review - Very Urgent [I] Classification: For internal use only Hi Team, Request you review the RDC hit received on "Richard Kahn, one of the board of director of Parent entity, Southern Trust Company Inc. (See attached file: Additional AML checks on Parent entity, board of director.pdf) Additional document (See attached file: 5 - SFLLC UBO.PDF) Thanks and Regards, Manikandan Muralidharan fcid:image001.gif@OlD01B9A.2E2849101 EFTA01418960 Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Bangalore, India Tel. Mobil Email Backup details - Ganesh Balaji Bharath-Kumar MS For Escalations please contact Level 1 - Karthik Level 2 - Balaji {cid:image002.gif@OlD01B9A.2E284910} Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:13 PM {cid:image003.png@OlD01B9A.2E284910} From: {cid:image004.png@OlD01B9A.2E284910 Anastasia Pringle/db {cid:image003.png@OlD01B9A.2E284910} To: {cid:image004.png@OlD01B9A.2E284910} Dmitri Saks/db/dbcom, {cid:image003.png@OlD01B9A.2E284910} Cc: {cid:image004.png@OlD01B9A.2E284910} Ged Account-Opening/db/dbco DBAmericas US-CB S-AML/db Manikandan Muralidharan/db {cid:image003.png@OlD01B9A.2E284910} Date: EFTA01418961 {cid:image004.png@OlD0189A.2E284910} 12/19/2014 08:01 PM {cid:image003.png@OlD0189A.2E284910} Subject: {cid:image004.png@OlD0189A.2E284910} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hello Dmitri, Please see the background checks for the additional 2 CP's. Please give an update to this request as soon as you can. Thank you fhttps://brandportal.intranet.db.com/img/modules/logo.gifl Kind Regards, Mrs. Anastasia Pringle EFTA01418962 Deutsche Bank Securities Inc. Client Onboarding Equities 5022 56 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: Ged.account-opening@db.com fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Dmitri Saks Sent: Thursday, December 18, 2014 1:23 PM To: Anastasia Pringle Cc: Ged Account-Opening; US-CB S-AML; Manikandan Muralidharan Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Anastasia, Thank you, this is helpful. However, a proof of appointment of the Board of Southern Trust Company, Inc. (Jeffrey Epstein, Darren K. Indyke, Richard Kahn) is still required. This is because they signed the UBO confirmation document stating that Mr. Epstein is the sole shareholder of Southern Trust Company, Inc. Also, Darren K. Indyke and Richard Kahn need to be identified as control persons in addition to Jeffrey Epstein, and the PCR/RDC checks for them need to be run and documented. This is because they control Southern Trust Company, Inc. which is the sole member of Southern Financial LLC. Thanks and regards, Dmitri fcid:image001.png@OlD01AC5.CCEC44A01 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street New York NY 10005-2836 Tel: E-mai {cid:image002.gif@O1CFDCA6.64B2B930} EFTA01418963 From: Anastasia Pringle Sent: Thursday, December 18, 2014 12:24 PM To: Manikandan Muralidharan; Dmitri Saks Cc: Ged Account-Opening Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Importance: High Classification: For internal use only Mani/Dmitri Please see the attached documents. Please advise if there is anything additional needed. Hi Anastasia, Per your request, please find attached the following: 1) Southern Trust: All incorporation documents 2) Southern Financial: Operating Agreement and incorporation documents In each document package, please disregard the DB PWM brokerage account documents, as they are not relevant. Please reach out with any further questions. Thank you. Thanks {https://brandportal.intranet.db.com/img/modules/logo.gif} Kind Regards, Mrs. Anastasia Pringle Deutsche Bank Securities Inc. Client Onboarding Equities 5022 Gate Parkwa Suite 500 32256 Jacksonville, FL, USA Tel. Fax Emai Please send all GED related emails to: Ged.account-opening@db.com fhttps://brandportal.intranet.db.com/img/modules/claim.gifl From: Manikandan Muralidharan Sent: Wednesday, December 17, 2014 2:36 PM EFTA01418964 To: Anastasia Pringle Cc: Ged Account-Opening Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Anastasia, As advised by AML Compliance in the below mail, we would be requiring a revised ownership confirmation to proceed further with the adoption of the captioned entity, Southern Financial LLC. Request you to help us obtain the same. Thanks and Regards, Manikandan Muralidharan fcid:image001.gif@OlD01ABD.8637A8401 Manikandan Muralidharan U S - New Client Adoption DBOI Global Services Private Limited Block 5, 6, 7, Velankani Tech Park, No.:43, Electronic City, Hosur Road, 560100 Tel. Mobil Email Backup details - Ganesh Balaji Bharath-Kumar MS For Escalations please contact Level 1 - Karthik Level 2 - Balaji fcid:image002.gif@OlD01ABD.8637A8401 Forwarded by Manikandan Muralidharan/db/dbcom on 12/18/2014 01:00 AM {cid:image003.png@OlD01ABD.8637A840} From: {cid:image004.png@OlD01ABD.8637A840} EFTA01418965 Dmitri Saks/db {cid:image003.png@OlD01ABD.8637A840} To: {cid:image004.png@OlD01ABD.8637A840} Jofin Varghese/db {cid:image003.png@OlD01ABD.8637A840} Cc: {cid:image00 7A840} CAGNY NCA/db/ ikandan Muralidharan d Sujith Shetty/db US-CB S-AML/db Anastasia Pringle/db/dbcom, Kumud Sharma/db {cid:image003.png@OlD01ABD.8637A840} Date: {cid:image004.png@OlD01ABD.8637A840} 12/17/2014 10:08 PM {cid:image003.png@OlD01ABD.8637A840} Subject: {cid:image004.png@OlD01ABD.8637A840} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] EFTA01418966 Classification: For internal use only Jofin, Please note that the provided Board resolution is the document of Southern Trust Company, Inc., and not Southern Financial LLC. Therefore, the following key statements made within the document will need to be validated: "Epstein is also the sole shareholder of Corporation" (i.e., Southern Trust Company, Inc.), and "the Corporation is the sole member of Southern Financial LLC" In order to validate the above, please provide the following supporting documentation: For Southern Trust Company, Inc.: proof of incorporation/formation and proof of appointment of the board of directors. You will also need to identify the board members as control persons for this account since they would be controlling Southern Financial LLC through Southern Trust Company, Inc. PCR/RDC searches would also be required. For Southern Financial LLC: Operating Agreement or other valid proof that Southern Trust Company, Inc. is the sole member of Southern Financial LLC. Alternatively, as I stated before, you can provide a letter/email from an internal or external legal counsel stating that Mr. Epstein is the sole UBO of Southern Financial LLC. EFTA01418967 Thanks and regards, Dmitri fcid:image006.png@OlD019ED.471ED1901 Dmitri Saks AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street New York NY 10005-2836 Tel: E-mai fcid:image002.gif@O1CFDCA6.64B2B9301 From: Jofin Varghese Sent: Wednesday, December 17, 2014 10:36 AM To: Dmitri Saks Cc: CAGNY NCA; Manikandan Muralidharan; Sujith Shetty; US-CB S-AML; Anastasia Pringle; Kumud Sharma Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The UBO is the sole controlling person of our entity however the Board of Directors who executed the operating agreement are the part of the Parent company. We have Considered the confirmation from the BOD of the parent entity which is an independent execution. While the procedure indicated to accept the UBO confirmation provided by the board of director either through an client email or Letter head or formal legal agreements. Kindly provide your view on the same Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited EFTA01418968 IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Emai Escalation Point: Back Up: {Inactive hide details for Dmitri Saks---12/17/2014 08:30:54 PM--- Classification: For internal use only Hi Jofin,}Dmitri Saks---12/17/2014 08:30:54 PM---Classification: For internal use only Hi {cid:image007.png@OlD019ED.2DECC6A0} From: {cid:image016.pn @OlD019ED.2DECC6A0} Dmitri Saks/db fcid:image007.png@OlD019ED.2DECC6A01 To: {cid:image016.pn 01D019ED.2DECC6A0} Jofin Varghese/db fcid:image007.png@OlD019ED.2DECC6A01 Cc: {cid:imageO CC6A0} CAGNY NcA/dblIIIIIIIIIIIIIIIIImanikandan Muralid Sujith Shetty/dblIIIIIIIIIIIIIIIII US-CB S-AML/db fcid:image007.png@OlD019ED.2DECC6A01 Date: {cid:image016.png@OlD019ED.2DECC6A0} 12/17/2014 08:30 PM fcid:image007.png@OlD019ED.2DECC6A01 EFTA01418969 Subject: {cid:image016.png@OlD019ED.2DECC6A0} RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Jofin, As stated in the attached, Jeffrey Epstein is the only control person, hence the "conflict of interest supposition" still exists. Besides, the supplied Board of Directors paper is neither notarized/witnessed/certified nor represents a formal filing document. In other words, it is not a strong legal proof. In such cases we recommend requesting a letter/email from an internal or external legal counsel. Thanks and regards, Dmitri {cid:image002.png@OlD019E0.5242C2A0} Dmitri Saks EFTA01418970 AML Compliance Officer Deutsche Bank Securities Inc. 60 Wall Street New York NY 10005-2836 Tel: E-mai fcid:image002.gif@O1CFDCA6.64B2B9301 From: Jofin Varghese Sent: Tuesday, December 16, 2014 6:30 PM To: US-CB S-AML Cc: CAGNY NCA; Dmitri Saks; Manikandan Muralidharan; Sujith Shetty; US-CB 5- AML Subject: Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only HI Dmitri, The Document is signed by the UBO himself however adding to it there are two more Individuals executed the same doc who are the part of Board of Directors. As per the procedure it states we can not consider the UBO verification confirmed by UBO himself only however considering the execution of the Board of Directors in the operating agreement we have accepted the UBO document. Kindly let us know if you want us to go back {cid:image004.gif@OlD019D9.DCF81D70} {cid:image005.gif@OlD019D9.DCF81D70} Kind regards, Jofin Varghese Client Onboarding - NY CAG DBOI Global Services Private Limited IB operations Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Tel. Mobile Email Escalation Point: EFTA01418971 Back Up: {Inactive hide details for US-CB S-AML---12/17/2014 04:31:50 AM--- Classification: For internal use only Hello All, Please note t}US-CB S- AML---12/17/2014 04:31:50 AM---Classification: For internal use only Hello All, Please note that the UBO verification document is s {cid:image008.png@OlD019D9.DCF81D70} From: {cid:image009.png@OlD019D9.DCF81D70} US-CB S-AML/db/dbcom {cid:image008.png@OlD019D9.DCF81D70} To: {cid:image009.pn 01D019D9.DCF81D70 Sujith Shetty/db {cid:image008.png@OlD019D9.DCF81D70} Cc: {cid:image009. n 01D019D9.DCF81D70} CAGNY NCA/db iofin Var hese/db Manikandan Muralidharan/db US-CB S-AML/db {cid:image008.png@OlD019D9.DCF81D70} Date: {cid:image009.png@OlD019D9.DCF81D70} 12/17/2014 04:31 AM {cid:image008.png@OlD019D9.DCF81D70} EFTA01418972 Subject: {cid:image009.png@01D019D9.DCF81D70} Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hello All, Please note that the UBO verification document is signed by the alleged UBO himself and may not be accepted as such. Please follow the CB&S U.S. AML Due Diligence Requirements to verify ownership: Obtain information on the organizational structure of the customer to the natural person level (direct or indirect UBOs of 25% or greater). Such information may be obtained through one or more of the following methods: • Organizational Chart OR • Letter/e-mail from Internal Counsel, Compliance Officer or Senior Manager (e.g., Control person) OR • Letter/e-mail from External Counsel OR • Use of publicly available information (e.g., trusted website) OR • Use of documentation (e.g., Registry Filing, legal document, etc.) Should you have any questions, please contact us. Thank you, {cid:image010.gif@01D019D9.DCF81D70} EFTA01418973 US CB&S AML Compliance AML Compliance Deutsche Bank Securities Inc. Compliance {cid:image011.gif@OlD019D9.DCF81D70} {Inactive hide details for Sujith Shetty---12/15/2014 03:49:38 PM--- Classification: For internal use only Hi Team, Attached bel}Sujith Shetty---12/15/2014 03:49:38 PM---Classification: For internal use only Hi Team, Attached below is the EDD Package for RID - ONB - 1 {cid:image008.png@OlD019D9.DCF81D70} From: {cid:image009.png@OlD019D9.DCF81D70} Sujith Shetty/db/dbcom fcid:image008.png@OlD019D9.DCF81D701 To: {cid:image009.png@OlD019D9.DCF81D70} US-CB S-AML/db/dbcom@DBAMERICAS, fcid:image008.png@OlD019D9.DCF81D701 Cc: {cid:image009.png@OlD019D9.DCF81D70} Manikandan Muralidharan db dbcom@DBAPAC, Jofin Varghese/db CAGNY NCA/db fcid:image008.png@OlD019D9.DCF81D701 Date: EFTA01418974 {cid:image009.png@OlD019D9.DCF81D70} 12/15/2014 03:49 PM {cid:image008.png@OlD019D9.DCF81D70} Subject: {cid:image009.png@OlD019D9.DCF81D70} EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern Financial LLC [I] Classification: For internal use only Hi Team, Attached below is the EDD Package for RID - ONB - 120902 Southern Financial LLC. Captioned request is principal party set up and it is a Private Investment Vehicle.Request is raised for DBSI- Equity - custody/- Margin (Type 1). We are escalating the request as Entity is Private Investment Vehicle. Kameshwaran has reviewed the alerts and the same has been attached for your reference. "..lofin reviewed and QA'd this EDD escalation package and confirms that all appropriate documentation is being escalated." EFTA01418975 The request has been escalated to AML Compliance. Kindly do the needful. EDD Template and 5 AML answers [attachment "EDD template and 5 AML answers.pdf" deleted by Dmitri Saks/db/- dbcom] CIP Document [attachment "1 - CIP Doc.pdf" deleted by Dmitri Saks/db/dbcom] Physical Email [attachment "CIP e-mail.pdf" deleted by Dmitri Saks/db/dbcom] CP Proof [attachment "CP Proof.pdf" deleted by Dmitri Saks/db/dbcom] UBO Proof [attachment "UBO.PDF" deleted by Dmitri Saks/db/dbcom] ID Proof [attachment "5 - UBO - ID.pdf" deleted by Dmitri Saks/db/dbcom] AML Checks on Entity, CP and UBO [attachment "3 - AML Checks.pdf" deleted by Dmitri Saks/db/dbcom] Internal Review [attachment "Alert Review.pdf" deleted by Dmitri Saks/db/dbcom] Confirmation on Private investment vehicle [attachment "Confirmation.pdf" deleted by Dmitri Saks/db/dbcom] Kind regards, Sujith Shetty fcid:image012.gif@OlD019D9.DCF81D701 EFTA01418976 Sujith Shetty DBOI Global Services Private Limited Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore, India Mobil Email fcid:image003.gif@OlD019D9.DCF81D701 [attachment "CP Proof.pdf" deleted by Jofin Varghese/db/dbcom] (See attached file: [Untitled].pdf) EFTA01418977