From: Sent: To: CC: Subject: Importance: High Hi Stewart, Vijay-A Sawant 8/31/2018 8:33:32 AM Stewart Oldfield Richard larossi Mayur Rathod RE: 2018 Periodic Review of High Risked Accountsand Neptune, LLC (GCIS1487264) under the SOUTHERN FINANCIAL RELATIONSHIP ill ; Bradley Gillin Butterfly Trust (GCIS#486426) Thanks for the confirmation on Butterfly Trust. We confirm that we do not require CDD form for this account & everything ok with this acct. For Neptune, we agree that we have all dots for Richard Kahn. The only reason we clarified below is because he was missing as RP, from the previously approved KYC (01790739). However as per documentation evidence, we confirm he needs to be added. Anyways, we will be submitting this case by Monday when all searches are complete. I am available for another hour today, are you free for a call now? Kind Regards, mom Vijay Sawant KYC Case Representative Deutsche CIS Centre Private Limited - Deutsche Bank Group Wealth Management 91, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India From: Stewart Oldfield Sent: Friday, August 31, 2018 5:52 PM To: Vijay-A Sawant Cc: Richard larossi < >; Mayur Rathod < >; Bradley Gillin Subject: Re: 2018 Periodic Review of High Risked Accounts (I ), Butterfly Trust (GCIS#486426) and Neptune, LLC (GCIS#487264) under the SOUTHERN FINANCIAL RELATIONSHIP ill Butterfly is a personal trust. For Neptune, any reason not to just add Rich as an RP? We've already KYC'd him for other accounts, correct? Will call you at 9 or so. Thanks Stewart Oldfield, CFA, CAIA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0091596 CONFIDENTIAL SDNY_GM_00237780 EFTA01388174