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Vijay Sawant
NYC Case Representative
Deutsche GB Centre Private Limited - Deutsche Bank Group
Wealth Management
Bi, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore aon East, Mumbai 400063, India
Tel.
Mobile
From: Vijay-A Sawant
Sent: Friday, August 24, 2018 2:39 PM
To: Stewart Oldfield < >; Richard larossi
Cc: Mayur Rathod < >; Bradley Gillin <
Subject: RE: 2018 Periodic Review of High Risked Accounts
(GCIS I), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS under
the SOUTHERN FINANCIAL RELATIONSHIP jlj
Importance: High
Hello Richard,
We have received material change confirmation from Brad on below accounts as per
attached email. So following are list of items pending on these accounts -
• Butterfly trust — Kindly confirm if this is a Personal Trust and NOT Corporate
Trust? After reviewing the trust agreement, we noticed that the UBO's seem not related
to the grantor. The reason for this request is to evaluate whether we require CDD form
for this account or not. NOTE: we require CDD form ONLY in case of Corporate Trusts.
• Neptune LLC — Please note that Richard Kahn has been added as manager as per
Operating Agreement even though he was NOT added as an RP in the previously
approved KYC Case#01790739.
We will proceed to the next stages upon receipt of your confirmation of the above
queries, thanks.
Kind Regards,
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Vijay Sawant
NYC Case Representative
Deutsche CM Centre Private Limited - Deutsche Bank Group
Wealth Management
• DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore on East, Mumbai - 400063, India
Tel.
Mobile +
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089972
CONFIDENTIAL SDNY_GM_00236156
EFTA01387414