EFTA01298260.pdf

Mayur Rathod
From: Bradley Gillin
Sent: Monday, September 24, 2018 9:20 PM
To: Vijay-A Sawant; Stewart Oldfield
Cc: Richard larossi; Mayur Rathod; Vinita Advani; Daphne Cales
Subject: RE: Assistance Required in Rejection of KYC Case#01977698 [I]
Classification: For internal use only
Vijay,
We received confirmation from the client that dentistry represent less than 25% of Karyna's earnings. Karyna's SOW
comes from her interior designing firm - JSC Interiors LLC. Thanks.
Regards,
Brad
Bradley Giffin
Vice President
Deutsche Bank Wealth Management
345 Park Avenue, 24th Fl
New York. NY 10154
Tel.
Fax
Email
Securities offered through Deutsche Bank Securities Inc.
From: Vijay-A Sawant
Sent: Monday, September 24, 2018 4:56 AM
To: Bradley Gillin < >; Stewart Oldfield <
Cc: Richard larossi < >; Ma ur Rathod < >; Vinita Advani
>; Daphne Cales <
Subject: Assistance Required in Rejection of KYC Case#01977698
Importance: High
Good Morning Stewart,
Hope you are well!!
We require your assistance today on rejection point 9, highlighted in yellow below —
Case #: 01977698
SDNY_GM_00062407
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0025232
EFTA_00172917
EFTA01298260

Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Customer
Number: 00000489505 Reason for Rejection:1) Please provide ID for . (KG — RESOLVED)
2) Please provide full signing authority document for Neptune LLC. (KG — RESOLVED)
3) Please re-run research for Jeffrey Epstein & Erike Kellerhals with the country as Virgin Islands, US. (KG — RESOLVED)
4) The google search for Darren Indyke has a few negative articles regarding Jeffrey Epstein's foundation and also has
court cases against Jeffrey Epstein. Please address them under section 4D "Please summarize any negative results from
the database searches indicated above:" (KG — RESOLVED)
5) Please indicate where we can locate the IDs for Darren Indyke and Richard D Kahn. (KG — RESOLVED)
6) Please provide the FinCEN CDD Form. (KG — RESOLVED)
7) Due to recent DB Force enhancements, all structured country fields (i.e., those converted to drop downs and multi
pick lists) must be populated in the KYC Wizard. Please ensure these fields are completed for all KYC parties. (KG —
RESOLVED (will know if it is indeed resolved when we try to approve))
8) Please explain in detail the purpose of each account. You can add this in the "What is the purpose of the account. (KG
— RESOLVED)
9) Please provide SOW verification. (KG — UNRESOLVED. Please provide SOW verification for Karyna Shuliak. Based on
Lexis Nexis, she holds a dentist license. Does she practice? Does she still work at JSC Interiors?)
As per the last approved KYC (1790724) for Karyna Shuliak, her only SOW company is an interior designing firm called
JSC Interiors LLC, on whom we have done all research. However as per the latest Research report ran on Karyna, shows
that she holds a Dentist License from 2015 in CA & FL states of US. This report also evidences that she is renewing her
license and her listed address, DOB & first 5 numbers of the SSN number matches with her profile, refer Pgs 4 & 5 from
the report. Last approved KYC (1790724) lists Karyna's payslip from JSC Interiors LLC for the month of June 2017 as SOW
evidence, also attached in this email for reference.
In light of the above, kindly provide the following :
• More info on Karyna's dental practice, i.e. please confirm whether her dental practice contributes 25% or more
of her income, from SOW perspective, so researches can be run accordingly.
• Finally, kindly confirm that she continues to work for JSC Interiors 11C and this is still part of her SOW?
Request you to kindly provide response to this query at the earliest convenience so we can re-submit this case at the
earliest, as this is the only unresolved rejection point in this case, thanks.
Kind Regards,
Vijay Sawant
KYC Case Representative
Deutsche CB Centre Private Limited - Deutsche Bank Group
Wealth Management
81, 08 Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore on last, Mumbai - 403063, India
Tel.
2
SDNY_GM_00062408
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CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0025233
EFTA 00172918
EFTA01298261