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 CAC
DBOI Global Services Private Limited
IB operations
Velankani Tech ark No 43 Electronic City, Hosur Road„ 560100 Bangalore, India
Tel. Mobile
Email
Escalation Point
Back Up:
Dmitri Saks---12117/2014 08:30:54 PM--Classification: For internal use only Hi Jofin,
From:
To
Cc.
12/17/2014 08:30 PM
DJEO
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Pity name : Southern Financial LLC III
Subject
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
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067536
CONFIDENTIAL SDNY_GM_00213720
EFTA01373384