EPSTEIN
page 2 / 268 . OCR, unverified
Importance: High
Richard larossi
ka Babu
Hi Stewart,
For Hyperion LLC and J Epstein Virgin Islands Foundation Inc in rejected KYC 01977699 we require the
following items mentioned in red fonts —
(3) Please provide evidence of or a case comment regarding confirmation from the client that the
information on the KYC is still accurate (i.e. ownership structure, signatories, etc. have not changed).
The comment must include the name of the person spoken with and date this conversation occurred.
(The attached internal email does not meet this requirement.) — No material confirmation email was
attached to the KYC but will not suffice as per AFC. They need evidence of client (person) & date
+confirming no material changes.
(4) Operating Agreement for Hyperion Air LLC indicates the company is manager-managed and the initial
manager was Lawrence Visoski. Is he still manager? Please provide evidence of the current management
for this entity. — Please provide evidence confirming if Lawrence Visoski is still the initial manager at
Hyperion Air LLC. We have re-checked the repositories and didn't find anything for this.
(6) Please attach evidence of signing authority (Corporate authorization) for the brokerage account of J.
Epstein Virgin Islands Foundation In., granting signing auth for Erika Kellerhals. — Will need DB Corporate
Resolution for this brokerage account
(7) Per J. Epstein Virgin Islands Foundation Inc brokerage account documents, Limited Trading Authority
granted to Paul Barrett. Please add as party to the KYC with all appropriate documentation and
research. Please help in getting Limited Trading Authority document for Paul Barrett for this account,
For Mort Inc covered in rejected KYC Case 01983253, the following is the only pending rejection item -
1. In addition to the provided source of wealth information, please provide info and narrative as to the
source of funds that will be deposited into the account. — Please provide info on Jeffrey Epstein's source
of funds.
We look forward to the required dots & info. Thanking you in advance for all your help.
Kind Regards,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0069963
CONFIDENTIAL
SDNY_GM_00216147
EFTA01374972
--- SOURCE: IMAGES__0043__EFTA01374973.txt ---
METADATA_SOURCE: IMAGES0043
METADATA_FILENAME: EFTA01374973.pdf
----------------------------------------
<image001.gif>
Vijay Sawant
KYC Case Representative
Deutsche CIB Centre Private Limited - Deutsche Bank Group
Wealth Management
Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore on East, Mumbai - 400063, India
Tel.
Mobi
From: Stewart Oldfield
Sent: Thursday, October 25, 2018 11:32 PM
To: Vijay-A Sawant
Cc: Bradle Gillin
>; Richard larossi
>; Alka Babu
; Mayur Rathod <
>; Vinita Advani <
Subject: RE: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP
We've responded to many of these already. Please list only outstanding items in a single email.
Thanks
From: Vijay-A Sawant
Sent: Thursday, October 25, 2018 10:50 AM
To: Stewart Oldfield <
Cc: Bradley Gillin
>; Richard larossi <
>; Alka Babu
>; Mayur Rathod <
>; Vinita Advani <
Subject: Pending responses on rejection cases under the SOUTHERN FINANCIAL RELATIONSHIP
Importance: High
Hi Stewart,
As discussed, we are awaiting responses to attached emails. For Plan D, you have mentioned that you
are reaching out to the client, so just awaiting feedback on that.
Please note the resolution of above cases will lead to completion of ALL accounts from this relationship
for 2018.
For Jockey Club, I will respond in a separate email.
Let us know if any queries, thanks.
Kind Regards,
<image001.gif>
Vijay Sawant
KYC Case Representative
Deutsche CM Centre Private Limited - Deutsche Bank Group
Wealth Management
Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore on East, Mumbai 400063, India
Tel.
Mobile +
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0069964
CONFIDENTIAL
SDNY_GM_00216148
EFTA01374973
--- SOURCE: IMAGES__0043__EFTA01374974.txt ---
METADATA_SOURCE: IMAGES0043
METADATA_FILENAME: EFTA01374974.pdf
----------------------------------------
Produced in Native Format
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0069971
CONFIDENTIAL
SDNY GM 00216155
EFTA01374974
--- SOURCE: IMAGES__0043__EFTA01374975.txt ---
METADATA_SOURCE: IMAGES0043
METADATA_FILENAME: EFTA01374975.pdf
----------------------------------------
Strike: 6.5
Notional: USD 10,000,000
Expiry: Thu 27-Oct-2016 (ly)
Premium: USD 287,100 (2.87%)
Delta: 53%
Strike vol: 6.24%
Leg 2: European Option Call
SOFL sells European USD Call on USD/CNH
Strike: 7.0
Notional: USD 10,000,000
Expiry: Thu 27-Oct-2016 (ly)
Premium: USD -127,100 (1.27%)
Delta: 24%
Strike vol: 9.15%
Net premium: USD 160,000 (1.60%)
Thank you,
Vahe
Vahe Stepanian
Assistant Vice President I Key Client Partners
Deutsche Bank Securities Inc.