Subject: FW: KYC Remediation update [I]
From: Bradley Gillin
Date: Thu, 23 Aug 2018 11:52:57 -0400
To: Terri Sohrab ‹ >
Classification: For internal use only
See High risk list below.
From: Vijay-A Sawant
Sent: Thursday, August 23, 2018 11:52 AM
To: Bradley Gillin
Cc: Richard Iarossi ; Alka Babu
Mayur Rathod
Subject: RE: KYC Remediation update [I]
Importance: High
Hi Brad,
Following are the ongoing high risked accounts which are overdue for
remediation in ascending order, their statuses below —
AMAAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA
Holdings Ltd (refer attached 1st email)
HATTAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA
Holdings Ltd (refer attached 1st email)
MARSA HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA
Holdings Ltd (refer attached 1st email)
JCP IV OP, LLC — DueDate 06/30/2018 — Docs received yesterday,
pending review. Will advise as soon as that is done.
— DueDate 07/27/2018 — Docs required as per
attached 2nd email
Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs as per
attached 3rd email. I am aware that you have followed up with client on
this, so thanks for that.
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Aircraft Acquisition Corporation — DueDate 08/03/2018 — Awaiting
docs as per 4th email attached.
Sillerman Investment Company III, LLC — DueDate 08/03/2018 —
Awaiting docs as per 4th email attached.
Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form as per
attached 5th email attached.
Elderberry X, LLC — DueDate 08/03/2018 — Pending CDD form as per
attached 5th email attached.
Sillerman Investment Corporation — DueDate 08/03/2018 — Awaiting
docs as per 4th email attached.
Epstein, Jeffrey E. — DueDate 08/08/2018 — Awaiting docs as per
attached 5th email attached.
Southern Financial LLC - DueDate 08/08/2018 — Awaiting docs as per
attached 8th email attached.
Southern Trust Company, Inc. - DueDate 08/08/2018 — Awaiting docs
as per attached 5th email attached.
J. Epstein Virgin Islands Foundation, Inc - DueDate 08/08/2018 —
Docs & confirmation required as per attached 10th email
GoldenTree Asset Management UK LLP- DueDate 08/09/2018 — Docs &
confirmation required as per attached 11th email
Gratitude America Ltd — DueDate 08/16/2018— Awaiting docs as per
attached 6th email attached.
Neptune, LLC — DueDate 08/16/2018 — Docs required as per attached
2nd email
NES, LLC — DueDate 08/16/2018 — Docs & confirmation required as per
attached 9th email.
LSJE, LLC — DueDate 08/18/2018 — Awaiting docs as per attached 8th
email attached.
Hyperion Air, LLC — DueDate 08/18/2018 — Docs & confirmation
required as per attached 10th email
JEGE, Inc — DueDate 08/18/2018 — Awaiting confirmation & docs as
per attached 7th email
JEGE, LLC — DueDate 08/18/2018 — Awaiting confirmation & docs as
per attached 7th email
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Plan D, LLC — DueDate 08/18/2018 — Docs & confirmation required as
per attached 9th email.
Jeepers, Inc - DueDate 08/18/2018 — Awaiting confirmation & docs as
per attached 7th email
Mort, Inc - DueDate 08/18/2018 — Awaiting docs as per attached 6th
email attached.
Zorro Management, LLC - DueDate 08/18/2018 — Awaiting docs as per
attached 5th email attached.
Happy to discuss items over a call whenever required, thanks.
Kind Regards,
{cid:
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.
Mobile +
From: Bradley Gillin
Sent: Thursday, August 23, 2018 2:19 AM
To: Vijay-A Sawant
Cc: Richard Iarossi
Subject: KYC Remediation update [I]
Classification: For internal use only
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Hi Vijay,
Please send an updated summary list when you can. I would like to review
with the team before my MTA. Thanks.
Regards,
Brad
{cid:image001.gif@OlD43618.C97B1E50}
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.
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