Subject: RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
From: Wayne Salit <E >
Date: Tue, 23 Dec 2014 13:28:46 -0500
To: Dmitri Saks
Cc: Carlos-A Garcia
Jan Bornebusch
Classification: For internal use only
Dmitri —
Thanks for the information.
Kind Regards,
Wayne Salit
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.
EFTA01418505
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 Frida , January 2nd. For immediate assistance, please
call the desk at . For emergencies, my mobile number is
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
fcid:image002.png@OlD01E93.4277AEF01
Dmitri Saks
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel:
E-mail:
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
EFTA01418506
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 :
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,
EFTA01418507
fcid:image001.png@OlD01E88.865A3A301
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}
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
EFTA01418508
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 Parkwa , Suite 500, 32256 Jacksonville, FL, USA
Tel.
Fax
Email
Please send all GED related emails to:
fhttps://brandportal.intranet.db.com/img/modules/claim.gifl
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
Icid:image004.gif@OlD01E0B.CE2B92A01
EFTA01418509
{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,
{cid:image014.png@OlD01E0C.039E9630}
From:
{cid:image015.png@OlD01E0C.039E9630}
Anastasia Pringle/db/dbcom@DBCOEX
{cid:image014.png@OlD01E0C.039E9630}
To:
{cid:image015.png@OlD01E0C.039E9630}
US-CB S-AML/db/dbcom@DBAMERICAS,
fcid:image014.png@OlD01E0C.039E96301
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
fcid:image014.png@OlD01E0C.039E96301
Subject:
{cid:image015.png@OlD01E0C.039E9630}
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
Financial LLC [I]
EFTA01418510
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.
Fax
Email
Please send all GED related emails to:
fhttps://brandportal.intranet.db.com/img/modules/claim.gifl
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.
EFTA01418511
Thank you,
{cid:image003.gif@OlD01DD4.0DBF56A0}
US CB&S AML Compliance
AML Compliance
Deutsche Bank Securities Inc.
Compliance
{cid:image004.gif@OlD01DD4.0DBF56A0}
{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
fcid:image006.png@OlD01DD4.0DBF56A01
Date:
{cid:image007.png@OlD01DD4.0DBF56A0}
12/19/2014 02:43 PM
EFTA01418512
{cid:image006.png@01D01DD4.0DBF56A0}
Subject:
{cid:image007.png@01D01DD4.0DBF56A0}
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
Financial LLC [I]
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.
Fax
Email
Please send all GED related emails to:
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
EFTA01418513
Subject: Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name :
Southern Financial LLC [I]
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 Ban alore, India
Tel.
Mobile
Email
Backup details -
Ganesh Balaji (
Bharath-Kumar MS
For Escalations please contact
Level 1 - Karthik (
Level 2 - Balaji ( )/Kumud (
fcid:image002.gif@OlD01B9A.2E2849101
Forwarded by Manikandan Muralidharan/db/dbcom on 12/19/2014 08:53 PM
{cid:image003.png@OlD01B9A.2E284910}
From:
{cid:image004.png@OlD01B9A.2E284910}
EFTA01418514
Syed-Anzar Ahmed/db/dbcom
{cid:image003.png@OlD01B9A.2E284910}
To:
{cid:image004.png@OlD01B9A.2E284910}
Manikandan Muralidharan/db/dbcom@DBAPAC,
{cid:image003.png@OlD01B9A.2E284910}
Cc:
{cid:image004.png@OlD01B9A.2E284910}
CAGNY NCA/db/dbcom@DBAmericas, Suresh-x Salimath/db/dbcom@DBAMERICAS,
Anantesh Anand/db/dbcom@DBAMERICAS
{cid:image003.png@OlD01B9A.2E284910}
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]
EFTA01418515
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,
fcid:image001.gif@OlD01B9A.2E2849101
Syed-Anzar Ahmed
Process Supervisor I COB - RDC LOOKBACK TEAM
DBOI Global Services Private Limited
Global Business Services
VTP,Electronic Cit , Hosur Road, 560100 Bangalore, India
Tel.
EFTA01418516
Mobile
Email
{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
fcid:image003.png@OlD01B9A.2E2849101
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:
{cid:image004.png@OlD01B9A.2E284910}
Fw: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
EFTA01418517
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
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 Ban alore, India
Tel.
Mobile
Email
Backup details -
Ganesh Balaji (
Bharath-Kumar MS (
EFTA01418518
For Escalations please contact
Level 1 - Karthik (
Level 2 - Balaji ( )/Kumud (
fcid:image002.gif@OlD01B9A.2E2849101
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,
fcid:image003.png@OlD01B9A.2E2849101
Cc:
{cid:image004.png@OlD01B9A.2E284910}
Ged Account-Opening/db/dbcom@DBAmericas, US-CB S-AML/db/dbcom@DBAMERICAS,
Manikandan Muralidharan/db/dbcom@DBAPAC
{cid:image003.png@OlD01B9A.2E284910}
Date:
{cid:image004.png@OlD01B9A.2E284910}
12/19/2014 08:01 PM
fcid:image003.png@OlD01B9A.2E2849101
Subject:
{cid:image004.png@OlD01B9A.2E284910}
RE: EDD package for the RID : ONB-120902 LKYCUS-3443 Party name : Southern
Financial LLC [I]
EFTA01418519
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
{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.
Fax
Email
Please send all GED related emails to:
{https://brandportal.intranet.db.com/img/modules/claim.gif}
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
EFTA01418520
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. EC44A01
Dmitri Saks
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel:
E-mail:
{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]
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:
EFTA01418521
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 Parkwa , Suite 500, 32256 Jacksonville, FL, USA
Tel.
Fax
Email
Please send all GED related emails to:
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]
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
EFTA01418522
{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 Ban alore, India
Tel.
Mobile
Email
Backup details -
Ganesh Balaji (
Bharath-Kumar MS
For Escalations please contact
Level 1 - Karthik (
Level 2 - Balaji ( )/Kumud (
{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
{cid:image003.png@OlD01ABD.8637A840}
To:
{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
EFTA01418523
{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]
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"
EFTA01418524
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
fcid:image006.png@OlD019ED.471ED1901
Dmitri Saks
AML Compliance Officer
Deutsche Bank Securities Inc.
60 Wall Street, New York, NY 10005-2836
Tel:
E-mail:
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;
EFTA01418525
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
Escalation Point:
Back Up:sagar.prakash@db.com,
{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
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From:
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Dmitri Saks/db/dbcom@DBCOEX
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To:
{cid:image016.png@OlD019ED.2DECC6A0}
EFTA01418526
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
fcid:image007.png@OlD019ED.2DECC6A01
Date:
{cid:image016.png@OlD019ED.2DECC6A0}
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]
Classification: For internal use only
Hi Jofin,
As stated in the attached, Jeffrey Epstein is the only control person, hence
EFTA01418527
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:
E-mail:
{cid:image002.gif@O1CFDCA6.64B2B930}
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 S-
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
EFTA01418528
{cid:image004.gif@OlD019D9.DCF81D70}
{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.
Email
Escalation Point:
Back Up:sagar.prakash@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
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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,
EFTA01418529
Manikandan Muralidharan/db/dbcom@DBAPAC, US-CB S-AML/db/dbcom@DBAMERICAS
fcid:image008.png@OlD019D9.DCF81D701
Date:
{cid:image009.png@OlD019D9.DCF81D70}
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]
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
EFTA01418530
• Use of documentation (e.g., Registry Filing, legal document, etc.)
Should you have any questions, please contact us.
Thank you,
{cid:image010.gif@OlD019D9.DCF81D70}
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---
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
fcid:image008.png@OlD019D9.DCF81D701
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,
EFTA01418531
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:
{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."
EFTA01418532
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
[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
EFTA01418533
Sujith Shetty
DBOI Global Services Private Limited
Velankani Tech park, No 43, Electronic City, Hosur Road„ 560100 Bangalore,
India
Mobile
Email
fcid:image003.gif@OlD019D9.DCF81D701
[attachment "CP Proof.pdf" deleted by Jofin Varghese/db/dbcom] (See attached
file: [Untitled].pdf)
EFTA01418534