Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
From: John Juul <john.juul@db.com>
Date: Tue, 23 Dec 2014 15:00:07 -0500
To: Wayne Salit <wayne.salit@db.com>
Cc: Michael Koplowitz <michael.koplowitz@db.com>
Classification: For internal use only
Sorry about that.
From: Wayne Salit
Sent: Tuesday, December 23, 2014 2:56 PM
To: John Juul
Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
Classification: For internal use only
John —
Thanks for the information. I will escalate this matter to Ted Gonedes for
his view on the Rep Risk issue.
BTW, you mentioned that you copied Mike, but I did not see it in the cc
line.
What is Mike's last name?
Kind Regards,
Wayne Salit
EFTA01418293
From: John Juul
Sent: Tuesday, December 23, 2014 2:45 PM
To: Wayne Salit
Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
Classification: For internal use only
Yes, he is. Copying Mike who covers this space from a Line Advisory
perspective.
From: Wayne Salit
Sent: Tuesday, December 23, 2014 1:39 PM
To: John Juul
Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
Classification: For internal use only
John —
See information below. Are you familiar with Ted Gonedes? I am trying to
figure out if he is senior enough for this decision. Also, the directory
does not indicate who Ted reports into.
Let me know your thoughts on whether Ted is the right person to go to with
this Rep Risk issue?
Thanks.
Kind Regards,
Wayne Salit
EFTA01418294
From: Dmitri Saks
Sent: Tuesday, December 23, 2014 9:32 AM
To: Wayne Salit
Cc: Carlos-A Garcia; Jan Bornebusch
Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
Classification: For internal use only
Hi Wayne,
The correct spelling of Courteney's last name is Fornal. She is Director
and Registered Principal for the deal. Courteney is on vacation, but she's
checking her email and would be available for a chat. Jan and I actually
spoke with her a few days ago on a separate topic. I don't believe she's
high enough for our purposes but we could definitely start with her.
The Managing Director for this business is William Shelton. He's out on an
MTA and this is his out-of-office message: "I am on my mandatory time away
with no access to e-mail. I will be
back in the office on Friday, January 2nd. For immediate assistance, please
call the desk at (212) 250-4940. For emergencies, my mobile number is (917)
913-4868."
The ultimate head of the Business is Ted Gonedes, Global Head of Equity
Derivatives Sales for CB&S Markets (sits here in NY). He's also on an MTA
and will be back next Monday, December 29.
Thanks and regards,
Dmitri
{cid:image002.png@OlD01E93.4277AEF0}
EFTA01418295
Dmitri Saks
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel: +1 (212) 250-4760
E-mail: dmitri.saks@db.com
fcid:image002.gif@O1CFDCA6.64B2B9301
From: Carlos-A Garcia
Sent: Tuesday, December 23, 2014 8:15 AM
To: Wayne Salit
Cc: Carlos-A Garcia; Dmitri Saks
Subject: FW: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
Classification: For internal use only
Hello Wayne,
From the information listed below, it appears that Courteney B Formal is the
head for this request.
Kind regards,
Carlos Garcia
From: Carlos-A Garcia On Behalf Of US-CB S-AML
Sent: Tuesday, December 23, 2014 8:13 AM
To: Carlos-A Garcia
Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
EFTA01418296
Southern Financial LLC [I]
Classification: For internal use only
Forwarded by Carlos-A Garcia/db/dbcom on 12/23/2014 08:12 AM
{cid:image001.png@OlD01E88.865A3A30}
From:
{cid:image002.png@OlD01E88.865A3A30}
Courteney B Fornal/db/dbcom@DBCOEX
{cid:image001.png@OlD01E88.865A3A30}
To:
{cid:image002.png@OlD01E88.865A3A30}
Anastasia Pringle/db/dbcom, US-CB S-AML/db/dbcom@DBAMERICAS, Mark Whyman/db/-
dbcom,
{cid:image001.png@OlD01E88.865A3A30}
Cc:
{cid:image002.png@OlD01E88.865A3A30}
Ged Account-Opening/db/dbcom@DBAmericas, Manikandan Muralidharan/db/-
dbcom@DBAPAC
{cid:image001.png@OlD01E88.865A3A30}
Date:
{cid:image002.png@OlD01E88.865A3A30}
12/22/2014 05:42 PM
{cid:image001.png@OlD01E88.865A3A30}
Subject:
{cid:image002.png@OlD01E88.865A3A30}
EFTA01418297
Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
Financial LLC [I]
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. +1(904)527-6168
EFTA01418298
Fax (904)746-4889
Email anastasia.pringle@db.com
Please send all GED related emails to: Ged.account-opening@db.com
{https://brandportal.intranet.db.com/img/modules/claim.gif}
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.
fcid:image003.gif@OlD01E0B.CE2B92A01
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,
fcid:image014.png@OlD01E0C.039E96301
From:
{cid:image015.png@OlD01E0C.039E9630}
Anastasia Pringle/db/dbcom@DBCOEX
EFTA01418299
{cid:image014.png@OlD01E0C.039E9630}
To:
{cid:image015.png@OlD01E0C.039E9630}
US-CB S-AML/db/dbcom@DBAMERICAS,
{cid:image014.png@OlD01E0C.039E9630}
Cc:
{cid:image015.png@OlD01E0C.039E9630}
Ged Account-Opening/db/dbcom@DBAmericas, Manikandan Muralidharan/db/-
dbcom@DBAPAC
{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]
EFTA01418300
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 Parkway, Suite 500, 32256 Jacksonville, FL, USA
Tel. +1(904)527-6168
Fax (904)746-4889
Email anastasia.pringle@db.com
Please send all GED related emails to: Ged.account-opening@db.com
{https://brandportal.intranet.db.com/img/modules/claim.gif}
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
Deutsche Bank Securities Inc.
Compliance
EFTA01418301
fcid:image004.gif@OlD01DD4.0DBF56A01
{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,
fcid:image006.png@OlD01DD4.0DBF56A01
From:
{cid:image007.png@OlD01DD4.0DBF56A0}
Anastasia Pringle/db/dbcom@DBCOEX
{cid:image006.png@OlD01DD4.0DBF56A0}
To:
{cid:image007.png@OlD01DD4.0DBF56A0}
Manikandan Muralidharan/db/dbcom@DBAPAC, Dmitri Saks/db/dbcom,
{cid:image006.png@OlD01DD4.0DBF56A0}
Cc:
{cid:image007.png@OlD01DD4.0DBF56A0}
Ged Account-Opening/db/dbcom@DBAmericas, US-CB S-AML/db/dbcom@DBAMERICAS
{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]
EFTA01418302
Classification: For internal use only
Hi Dmitri,
Can you please advise on the current status?
Thanks
fhttps://brandportal.intranet.db.com/img/modules/logo.gifl
Kind Regards,
Mrs. Anastasia Pringle
Deutsche Bank Securities Inc.
Client Onboarding Equities
5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA
Tel. +1(904)527-6168
Fax (904)746-4889
Email anastasia.pringle@db.com
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: 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 :
Southern Financial LLC [I]
EFTA01418303
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 Bangalore, India
Tel. +44(207)5411002
Mobile +91 8050027747
Email manikandan.muralidharan@db.com
Backup details -
Ganesh Balaji (ganesh.balaji@db.com)
Bharath-Kumar MS (bharath-kumar.ms@db.com)
For Escalations please contact
Level 1 - Karthik (karthik-x.k@db.com)
Level 2 - Balaji (balaji-k.v@db.com)/Kumud (kumud.sharma@db.com)
{cid:image002.gif@OlD01B9A.2E284910}
Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:53 PM
{cid:image003.png@OlD01B9A.2E284910}
From:
{cid:image004.png@OlD01B9A.2E284910}
Syed-Anzar Ahmed/db/dbcom
{cid:image003.png@OlD01B9A.2E284910}
EFTA01418304
To:
{cid:image004.png@OlD01B9A.2E284910}
Manikandan Muralidharan/db/dbcom@DBAPAC,
fcid:image003.png@OlD01B9A.2E2849101
Cc:
{cid:image004.png@OlD01B9A.2E284910}
CAGNY NCA/db/dbcom@DBAmericas, Suresh-x Salimath/db/dbcom@DBAMERICAS,
Anantesh Anand/db/dbcom@DBAMERICAS
fcid:image003.png@OlD01B9A.2E2849101
Date:
{cid:image004.png@OlD01B9A.2E284910}
12/19/2014 08:42 PM
{cid:image003.png@OlD01B9A.2E284910}
Subject:
{cid:image004.png@OlD01B9A.2E284910}
Re: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC - RDC alert Review - Very Urgent [I]
EFTA01418305
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=MD6UVIedDsWPuAT924DoCp&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,
{cid:image001.gif@OlD01B9A.2E284910}
Syed-Anzar Ahmed
Process Supervisor I COB - RDC LOOKBACK TEAM
DBOI Global Services Private Limited
Global Business Services
EFTA01418306
VTP,Electronic City, Hosur Road, 560100 Bangalore, India
Tel. +44-20-77795539
Mobile +91 8050736279
Email syed-anzar.ahmed@db.com
{cid:image002.gif@OlD01B9A.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@OlD01B9A.2E284910}
Manikandan Muralidharan/db/dbcom
{cid:image003.png@OlD01B9A.2E284910}
To:
{cid:image004.png@OlD01B9A.2E284910}
CAGNY NCA/db/dbcom@DBAmericas,
{cid:image003.png@OlD01B9A.2E284910}
Cc:
{cid:image004.png@OlD01B9A.2E284910}
Syed-Anzar Ahmed/db/dbcom@DBAPAC, Suresh-x Salimath/db/dbcom@DBAMERICAS,
Jofin Varghese/db/dbcom@DBAMERICAS, Sagar Prakash/db/dbcom@DBAMERICAS,
Kameshwaran Ns/db/dbcom@DBAPAC, Anantesh Anand/db/dbcom@DBAMERICAS
{cid:image003.png@OlD01B9A.2E284910}
Date:
{cid:image004.png@OlD01B9A.2E284910}
12/19/2014 08:23 PM
{cid:image003.png@OlD01B9A.2E284910}
Subject:
EFTA01418307
{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
{cid:image001.gif@OlD01B9A.2E284910}
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,
EFTA01418308
560100 Bangalore, India
Tel. +44(207)5411002
Mobile +91 8050027747
Email manikandan.muralidharan@db.com
Backup details -
Ganesh Balaji (ganesh.balaji@db.com)
Bharath-Kumar MS (bharath-kumar.ms@db.com)
For Escalations please contact
Level 1 - Karthik (karthik-x.k@db.com)
Level 2 - Balaji (balaji-k.v@db.com)/Kumud (kumud.sharma@db.com)
{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/dbcom@DBCOEX
{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/dbcom@DBAmericas, US-CB S-AML/db/dbcom@DBAMERICAS,
Manikandan Muralidharan/db/dbcom@DBAPAC
fcid:image003.png@OlD01B9A.2E2849101
Date:
{cid:image004.png@OlD01B9A.2E284910}
12/19/2014 08:01 PM
EFTA01418309
fcid:image003.png@OlD0189A.2E2849101
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
Deutsche Bank Securities Inc.
Client Onboarding Equities
5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA
Tel. +1(904)527-6168
Fax (904)746-4889
Email anastasia.pringle@db.com
EFTA01418310
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: +1 (212) 250-4760
E-mail: dmitri.saks@db.com
{cid:image002.gif@O1CFDCA6.64B2B930}
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]
EFTA01418311
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
fhttps://brandportal.intranet.db.com/img/modules/logo.gifl
Kind Regards,
Mrs. Anastasia Pringle
Deutsche Bank Securities Inc.
Client Onboarding Equities
5022 Gate Parkway, Suite 500, 32256 Jacksonville, FL, USA
Tel. +1(904)527-6168
Fax (904)746-4889
Email anastasia.pringle@db.com
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
To: Anastasia Pringle
Cc: Ged Account-Opening
Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
EFTA01418312
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
{cid:image001.gif@OlD01ABD.8637A840}
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. +44(207)5411002
Mobile +91 8050027747
Email manikandan.muralidharan@db.com
Backup details -
Ganesh Balaji (ganesh.balaji@db.com)
Bharath-Kumar MS (bharath-kumar.ms@db.com)
For Escalations please contact
Level 1 - Karthik (karthik-x.k@db.com)
Level 2 - Balaji (balaji-k.v@db.com)/Kumud (kumud.sharma@db.com)
{cid:image002.gif@OlD01ABD.8637A840}
Forwarded by Manikandan Muralidharan/db/dbcom on 12/18/2014 01:00 AM
{cid:image003.png@OlD01ABD.8637A840}
From:
{cid:image004.png@OlD01ABD.8637A840}
Dmitri Saks/db/dbcom@DBCOEX
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To:
EFTA01418313
{cid:image004.png@OlD01ABD.8637A840}
Jofin Varghese/db/dbcom@DBAMERICAS,
{cid:image003.png@OlD01ABD.8637A840}
Cc:
{cid:image004.png@OlD01ABD.8637A840}
CAGNY NCA/db/dbcom@DBAmericas, Manikandan Muralidharan/db/dbcom@DBAPAC,
Sujith Shetty/db/dbcom@DBAMERICAS, US-CB S-AML/db/dbcom@DBAMERICAS,
Anastasia Pringle/db/dbcom, Kumud Sharma/db/dbcom@DBAPAC
{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]
EFTA01418314
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.
Thanks and regards,
Dmitri
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EFTA01418315
Dmitri Saks
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel: +1 (212) 250-4760
E-mail: dmitri.saks@db.com
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
IB operations
Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore,
India
Tel. Mobile +91 953853 9721
Email jofin.varghese@db.com
Escalation Point: christy.raj@db.com
Back Up:sagar.prakash@db.com, anantesh.anand@db.com
EFTA01418316
{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 Jofin,
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From:
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Dmitri Saks/db/dbcom@DBCOEX
fcid:image007.png@OlD019ED.2DECC6A01
To:
{cid:image016.png@OlD019ED.2DECC6A0}
Jofin Varghese/db/dbcom@DBAMERICAS,
fcid:image007.png@OlD019ED.2DECC6A01
Cc:
{cid:image016.png@OlD019ED.2DECC6A0}
CAGNY NCA/db/dbcom@DBAmericas, Manikandan Muralidharan/db/dbcom@DBAPAC,
Sujith Shetty/db/dbcom@DBAMERICAS, US-CB S-AML/db/dbcom@DBAMERICAS
{cid:image007.png@OlD019ED.2DECC6A0}
Date:
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12/17/2014 08:30 PM
fcid:image007.png@OlD019ED.2DECC6A01
Subject:
{cid:image016.png@OlD019ED.2DECC6A0}
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
Financial LLC [I]
EFTA01418317
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
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel: +1 (212) 250-4760
E-mail: dmitri.saks@db.com
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EFTA01418318
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
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{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 +91 953853 9721
Email jofin.varghese@db.com
Escalation Point: christy.raj@db.com
Back Up:sagar.prakash@db.com, anantesh.anand@db.com
{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
fcid:image008.png@OlD019D9.DCF81D701
EFTA01418319
From:
{cid:image009.png@OlD019D9.DCF81D70}
US-CB S-AML/db/dbcom
fcid:image008.png@OlD019D9.DCF81D701
To:
{cid:image009.png@OlD019D9.DCF81D70}
Sujith Shetty/db/dbcom@DBAMERICAS,
fcid:image008.png@OlD019D9.DCF81D701
Cc:
{cid:image009.png@OlD019D9.DCF81D70}
CAGNY NCA/db/dbcom@DBAMERICAS, Jofin Varghese/db/dbcom@DBAMERICAS,
Manikandan Muralidharan/db/dbcom@DBAPAC, US-CB S-AML/db/dbcom@DBAMERICAS
{cid:image008.png@OlD019D9.DCF81D70}
Date:
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12/17/2014 04:31 AM
fcid:image008.png@OlD019D9.DCF81D701
Subject:
{cid:image009.png@OlD019D9.DCF81D70}
Re: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
Financial LLC [I]
EFTA01418320
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,
fcid:image010.gif@OlD019D9.DCF81D701
US CB&S AML Compliance
AML Compliance
Deutsche Bank Securities Inc.
Compliance
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{Inactive hide details for Sujith Shetty---12/15/2014 03:49:38 PM---
EFTA01418321
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
{cid:image008.png@OlD019D9.DCF81D70}
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/dbcom@DBAMERICAS,
CAGNY NCA/db/dbcom@DBAmericas
fcid:image008.png@OlD019D9.DCF81D701
Date:
{cid:image009.png@OlD019D9.DCF81D70}
12/15/2014 03:49 PM
fcid:image008.png@OlD019D9.DCF81D701
Subject:
EFTA01418322
{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."
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
EFTA01418323
[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
Sujith Shetty
DBOI Global Services Private Limited
Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore,
India
Mobile +0 9980030658
Email sujith.shetty@db.com
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[attachment "CP Proof.pdf" deleted by Jofin Varghese/db/dbcom] (See attached
file: [Untitled].pdf)
EFTA01418324
EFTA01418325
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