Subject: RE: KYC Remediation update [I]
Subject: RE: KYC Remediation update [I]
From: Bradley Gillin
Date: Thu, 23 Aug 2018 14:52:19 -0400
To: Terri Sohrab
Cc: Richard Iarossi
Classification: For internal use only
Updates in red below.
Khullar Relationship
• AMAAN HOLDINGS LLC — Due Date 06/29/2018 — Pending SoS for
SAMRA Holdings Ltd (refer attached 1st email)
• HATTAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for
SAMRA Holdings Ltd (refer attached 1st email)
• MARSA HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for
SAMRA Holdings Ltd (refer attached 1st email)
o Response from client, Deepak Khullar, on 8/9/18 - 'SoS for Samra- letter
of good standing will have to be sourced from the registrars - CITCO and
could take a week to ten days'
Jefferies Relationship:
• JCP IV OP, LLC — DueDate 06/30/2018 —
o All outstanding KYC Docs received yesterday, pending review.
Cerberus Relationship:
• Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs
as per attached 3rd email. I am aware that you have followed up with client
on this, so thanks for that.
o Working with Cerberus' Council. FinCEN Form, Certificate of Good
Standings (within 6 months), and constitutional docs from 6 entities were
requested.
Sillerman Relationship:
EFTA01402118
Awaiting docs
Awaiting docs Aircraft Acquisition Corporation — DueDate 08/03/2018 —
as per 4th email attached.
Sillerman Investment Company III, LLC — DueDate 08/03/2018 —
as per 4th email attached.
• Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form
as per attached 5th email attached.
• Elderberry X, LLC — DueDate 08/03/2018 — Pending CDD form as
per attached 5th email attached.
Awaiting docs
o Requested
next week. Sillerman Investment Corporation — DueDate 08/03/2018 —
as per 4th email attached.
FinCEN forms from Sillerman — should receive tomorrow/early
Southern Financial/Epstein Relationship:
• Epstein, Jeffrey E. — DueDate 08/08/2018 — Awaiting docs as
per attached 5th email attached.
• Southern Financial LLC - DueDate 08/08/2018 — Awaiting docs
as per attached 8th email attached.
• Southern Trust Company, Inc. - DueDate 08/08/2018 — Awaiting
docs as per attached 5th email attached.
• J. Epstein Virgin Islands Foundation, Inc - DueDate
08/08/2018 — Docs & confirmation required as per attached 10th email
• GoldenTree Asset Management UK LLP- DueDate 08/09/2018 — Docs
& confirmation required as per attached 11th email
• Gratitude America Ltd — DueDate 08/16/2018— Awaiting docs as
per attached 6th email attached.
• Neptune, LLC — DueDate 08/16/2018 — Docs required as per
attached 2nd email
• NES, LLC — DueDate 08/16/2018 — Docs & confirmation required
as per attached 9th email.
• LSJE, LLC — DueDate 08/18/2018 — Awaiting docs as per
attached 8th email attached.
• Hyperion Air, LLC — DueDate 08/18/2018 — Docs & confirmation
EFTA01402119
required as per attached 10th email
• JEGE, Inc — DueDate 08/18/2018 — Awaiting confirmation & docs
as per attached 7th email
• JEGE, LLC — DueDate 08/18/2018 — Awaiting confirmation & docs
as per attached 7th email
• Plan D, LLC — DueDate 08/18/2018 — Docs & confirmation
required as per attached 9th email.
• Jeepers, Inc - DueDate 08/18/2018 — Awaiting confirmation &
docs as per attached 7th email
• Mort, Inc - DueDate 08/18/2018 — Awaiting docs as per
attached 6th email attached.
• Zorro Management, LLC - DueDate 08/18/2018 — Awaiting docs as
per attached 5th email attached.
o DueDate 07/27/2018 — Docs required as per attached
2nd
o Certificate of Good Standing (within 6 months) requested for all above
referenced entities.
Regards,
Brad
fcid:[email protected]
Bradley Gillin
Vice President
Deutsche Bank Wealth Management
345 Park Avenue, 24th Fl
New
Tel.
Fax
Email
Securities offered through Deutsche Bank Securities Inc.
EFTA01402120
From: Vijay-A Sawant
Sent: Thursday, Aug
To: Bradley Gillin
Cc: Richard I
Mayur Rathod
Subject: RE: KYC Remediation
Importance: High
Hi Brad, update [I] Alka Babu
Following are the ongoing high risked accounts which are overdue for
remediation in ascending order, their statuses below —
AMAAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA
Holdings Ltd (refer attached 1st email)
HATTAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA
Holdings Ltd (refer attached 1st email)
MARSA HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA
Holdings Ltd (refer attached 1st email)
JCP IV OP, LLC — DueDate 06/30/2018 — Docs received yesterday,
pending review. Will advise as soon as that is done.
DueDate 07/27/2018 —
attache n emai Docs required as per
Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs as per
attached 3rd email. I am aware that you have followed up with client on
this, so thanks for that.
Aircraft Acquisition Corporation — DueDate 08/03/2018 — Awaiting
docs as per 4th email attached.
Sillerman Investment Company III, LLC — DueDate 08/03/2018 —
Awaiting docs as per 4th email attached.
Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form as per
attached 5th email attached.
EFTA01402121
Elderberry X, LLC — DueDate 08/03/2018 — Pending CDD form as per
attached 5th email attached.
Sillerman Investment Corporation — DueDate 08/03/2018 — Awaiting
docs as per 4th email attached.
Epstein, Jeffrey E. — DueDate 08/08/2018 — Awaiting docs as per
attached 5th email attached.
Southern Financial LLC - DueDate 08/08/2018 — Awaiting docs as per
attached 8th email attached.
Southern Trust Company, Inc. - DueDate 08/08/2018 — Awaiting docs
as per attached 5th email attached.
J. Epstein Virgin Islands Foundation, Inc - DueDate 08/08/2018 —
Docs & confirmation required as per attached 10th email
GoldenTree Asset Management UK LLP- DueDate 08/09/2018 — Docs &
confirmation required as per attached 11th email
Gratitude America Ltd — DueDate 08/16/2018— Awaiting docs as per
attached 6th email attached.
Neptune, LLC — DueDate 08/16/2018 — Docs required as per attached
2nd email
NES, LLC — DueDate 08/16/2018 — Docs & confirmation required as per
attached 9th email.
LSJE, LLC — DueDate 08/18/2018 — Awaiting docs as per attached 8th
email attached.
Hyperion Air, LLC — DueDate 08/18/2018 — Docs & confirmation
required as per attached 10th email
JEGE, Inc — DueDate 08/18/2018 — Awaiting confirmation & docs as
per attached 7th email
JEGE, LLC — DueDate 08/18/2018 — Awaiting confirmation & docs as
per attached 7th email
Plan D, LLC — DueDate 08/18/2018 — Docs & confirmation required as
per attached 9th email.
Jeepers, Inc - DueDate 08/18/2018 — Awaiting confirmation & docs as
per attached 7th email
Mort, Inc - DueDate 08/18/2018 — Awaiting docs as per attached 6th
email attached.
EFTA01402122
Zorro Management, LLC - DueDate 08/18/2018 — Awaiting docs as per
attached 5th email attached.
Happy to discuss items over a call whenever required, thanks.
Kind Regards,
{cid:1 [email protected]}
Vijay Sawant
KYC Case Representative
Deutsche CIB Centre Private Limited Deutsche Bank Group
Wealth Management
B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore aon East, Mumbai - 400063 , India
Tel.
Mobi
From: Bradley Gillin
Sent: Thursday, August 23, 2018 2:19 AM
To: Vijay-A Sawant
Cc: Richard Iarossi
Subject: KYC Remediation update [I]
Classification: For internal use only
Hi Vijay,
Please send an updated summary list when you can. I would like to review
with the team before my MTA. Thanks.
EFTA01402123
Regards,
Brad
fcid:[email protected]
Bradley Gillin
Vice President
Deutsche Bank Wealth Management
345 Park Avenue, 24th Fl
New
Tel.
Fax
Emai
Securities offered through Deutsche Bank Securities Inc.
EFTA01402124
📷 Images in this document (7 detected; 6 largest described)
AI-generated factual descriptions of embedded images (llava:13b). These are searchable across the corpus.
[Image 1] The image appears to be a document with a list of items or tasks, possibly related to a business or organization. The list includes various names, dates, and descriptions of actions such as "Attached email attached to email," "Attached email attached to email," and "Attached email attached to email." There are also references to "Attached email attached to email" and "Attached email attached to em
[Image 2] The image shows a text document with a list of items, possibly related to business or legal matters. The document includes sections titled "Aircraft Acquisition Corporation," "Southern Trust Company, Inc.," and "Southern Financial Relationship." Each section lists various items such as "Attached documents," "Attached documents," and "Attached documents," with corresponding dates and descriptions.
[Image 3] The image shows a document with text, which appears to be a list of transactions or account details. The text includes names, dates, and possibly financial information such as account numbers and amounts. The document is not clearly legible due to the resolution and angle of the photograph. It seems to be a printed page, possibly from a financial statement or account summary.
[Image 4] The image shows a printed document with text, which appears to be a list of updates or messages. The document is titled "RE: RC Update" and includes a date and time stamp at the top. The text is organized into sections with headings such as "Subject," "Classification," and "References." The content of the document includes various updates, messages, and references to individuals and entities, incl
[Image 5] The image appears to be a screenshot of an email conversation. The email contains a series of messages with various subjects, dates, and recipients. The visible text includes names, dates, and references to documents and attachments. The content of the email suggests a professional context, possibly related to business or legal matters. The specific details of the content are not clear due to the
[Image 6] The image shows a digital document, which appears to be an email. The sender's name is "Vijay Sawant," and the recipient's name is "Krishna Kumar." The email is from "Zerodha Management LLC" and is dated "Fri, 6 Jun '14." The subject line of the email is "Request for item removal." The body of the email mentions a request to remove an item from a call list. The email also includes a note at the bo