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Zorro Management, 11C - DueDate 08/18/2018 —Awaiting docs as per attached Si" email attached.
Happy to discuss items over a call whenever required, thanks.
Kind Regards,
Vijay Sawant
KYC Case Representative
Deutsche CIS Centre Private Limited - Deutsche Bank Group
Wealth Management
From: Bradley Gillin
Sent: Thursday, August 23, 2018 2:19 AM
To: Vijay-A Sawant <viiay-a.sawant@db.com>
Cc: Richard larossi <richard.iarossi@db.com>
Subject: KYC Remediation update Ill
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 MCA. Thanks.
Regards.
Brad
Bradley Gitlin
Vice President
Deutsche Bank Wealth Management
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031311
CONFIDENTIAL
SDNY GM_00177495
EFTA01345150
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031315
CONFIDENTIAL
SONY GM_00177499
EFTA01345151
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METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345152.pdf
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Kindly advise at the earliest on the above so I can launch KYC for all accounts and begin remediation, thanks.
Kind Regards,
Ik1a::u:,
KYC Case Representative
Deutsche CM Centre Private limited - Deutsche Bank Group
Wealth Management
BI, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore aon Fast, Mumbai - 400063, India
Tel.
Mobile a
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0031317
CONFIDENTIAL
SDNY_GM_00177501
EFTA01345152
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METADATA_SOURCE: IMAGES0015
METADATA_FILENAME: EFTA01345153.pdf
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Deutsche Asset
& Wealth Management
Volcker Questionnaire
The Client Rep is required to provide this questionnaire for any new WM client that is not a natural person.
If none of the categorizations under Part 1 or Part 2 applies to the new WM client. the Volcker Resource will contact the
business line coverage lawyer.
Name of Client:
Butterfly Trust
Part 1
Check the box if the person or entity for which the account is being opened, corresponds to any of the
following classifications:
A legal entity, for example a corporation or single-member LLC. that is wholly-owned by one person.
x A family trust' that is established by a single natural person, by spouses, by several Family Members? ("Family Trust")
or by such persons together with a Family Trust or Family Vehicle (as defined below) established by Family Members of
the same family.
A corporation, limited liability company or partnership that is wholly-owned by a single natural person, by spouses, by
several Family Members ("Family Vehicle') or together with a Family Trust or Family Vehicle established by Family
Members of the same family.
If owned or established by related Family Members, the principals have described the relationship to among the Family
Members as follows:
An estate.
An ERISA, US Pension or Profit Sharing Plan (including any employee's stock bonus, pension or profit-sharing trust)
which is a broad-based employee benefit plan that is qualified under Section 401 of the Internal Revenue Code of 1986
(excluding plans for senior executives only), or the foreign equivalents of such plans.
A governmental plan which has been established for the exclusive benefit of its employees or its beneficiaries for the
purpose of distributing the corpus and income of the fund accumulated in such plan.
A charitable organization that qualifies for tax exempt status under Section 501(cX3) of the Internal Revenue Code or
that is operated exclusively for religious. educational, benevolent. fraternal, charitable or reformatory purposes.
Foreign Sovereign Government.
A non-US Entity that meets all of the following characteristics:
— The entity is organized under the laws of a non-US jurisdiction:
— Owners/members are not US residents or citizens:
— No US banking entity of Deutsche Bank is involved in the chain of sponsorship/ownership; and
— The entity does not have a US registered Commodity Pool Operator (registered with regard to the entity).
If any of the above classifications apply to this vehicle. the client is out of scope for Volcker Covered Fund Determination.
Skip Part 2 and proceed to Part 3 in this questionnaire.