From: Vijay-A Sawant
Sent: 8/31/2018 8:33:32 AM
To: Stewart Oldfield
CC: Richard larossi Mayur Rathod ; Bradley Gillin
Subject: RE: 2018 Periodic Review of High Risked Accounts - Butterfly Trust (GCIS#486426)
and Neptune, LLC (GCIS1487264) under the SOUTHERN FINANCIAL RELATIONSHIP ill
Importance: High
Hi Stewart,
Thanks for the confirmation on Butterfly Trust. We confirm that we do not require CDD form for this account &
everything ok with this acct.
For Neptune, we agree that we have all dots for Richard Kahn. The only reason we clarified below is because he was
missing as RP, from the previously approved KYC (01790739). However as per documentation evidence, we confirm he
needs to be added.
Anyways, we will be submitting this case by Monday when all searches are complete.
I am available for another hour today, are you free for a call now?
Kind Regards,
mom
Vijay Sawant
KYC Case Representative
Deutsche CIS Centre Private Limited - Deutsche Bank Group
Wealth Management
91, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore aon East, Mumbai - 400063 , India
From: Stewart Oldfield
Sent: Friday, August 31, 2018 5:52 PM
To: Vijay-A Sawant
Cc: Richard larossi < >; Mayur Rathod < >; Bradley Gillin
Subject: Re: 2018 Periodic Review of High Risked Accounts (I ), Butterfly Trust
(GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP ill
Butterfly is a personal trust.
For Neptune, any reason not to just add Rich as an RP? We've already KYC'd him for other accounts, correct?
Will call you at 9 or so.
Thanks
Stewart Oldfield, CFA, CAIA
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0091596
CONFIDENTIAL SDNY_GM_00237780
EFTA01388174