RE: MD Approval for ACUs for High Risk Clients [I]

Classification: For internal use only

Dear Andrew,

As you know, our procedures require MDs to approve all ACUs completed for High Risk clients each month.

Please review the below ACUs completed and approve them.

Annual Client Update: ID

GCIS Customer Number

Customer Owner

MD

Customer Name

Annual Client Update: Created Date

A14.

A15. Client Status Update Description

A16.

A17.

78144

00000520114

Douglas Robertson

Andrew Gallivan

Atlantix Investment LLC

10/12/2016

I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready.

EFTA01398901

No
No
No

No changes yet.

78143

00000520113

Douglas Robertson

Andrew Gallivan

Millstein Atlantix LLC

10/12/2016

I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready.

No changes yet.

No

No

77877

00000496285

Mark Gonzalez

Andrew Gallivan

435 E 76 3D LLC

10/4/2016

Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No

EFTA01398902

77876

00000496286

Mark Gonzalez

Andrew Gallivan

555 W 23 N4R LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. The property has been sold and the entity will be winding down. Yes No

77880

00000496287

Mark Gonzalez

Andrew Gallivan

635 W 42 7E LLC

10/4/2016

Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No

77879

00000496288

Mark Gonzalez

Andrew Gallivan

67 Liberty PHB LLC

EFTA01398903

10/4/2016

Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No

77704

00000486426

Stewart Oldfield

Andrew Gallivan

Butterfly Trust

9/29/2016

change in trustees

No material change

Yes

No

77695

00000499760

Stewart Oldfield

Andrew Gallivan

Gratitude America

9/29/2016

no material change

no material change

Yes

EFTA01398904

No

77697

00000487223

Stewart Oldfield

Andrew Gallivan

HBRK Associates, Inc

9/29/2016

No material change

No material change

Yes

No

77698

00000487225

Stewart Oldfield

Andrew Gallivan

Hyperion Air, LLC

9/29/2016

no material change

no material change

Yes

No

77699

00000487244

Stewart Oldfield

EFTA01398905

Andrew Gallivan
JEGE, Inc
9/29/2016
no material change
no material change
Yes
No
77694
00000489505
Stewart Oldfield
Andrew Gallivan
9/29/2016
no material change
no material change
Yes
No
77701
00000487264
Stewart Oldfield
Andrew Gallivan
Neptune, LLC
9/29/2016
no material change
no material change

EFTA01398906

Yes
No
77844
00000487265
Stewart Oldfield
Andrew Gallivan
NES, LLC
10/4/2016
No material change
No material change
Yes
No
77703
00000487219
Stewart Oldfield
Andrew Gallivan
Plan D, LLC
9/29/2016
No material change
No material change
Yes
No
77702
00000487199

EFTA01398907

Stewart Oldfield

Andrew Gallivan

The 2007 Jeffrey E. Epstein Insurance Trust #3

9/29/2016

No material change

No material change

Yes

No

77842

00000487199

Stewart Oldfield

Andrew Gallivan

The 2007 Jeffrey E. Epstein Insurance Trust #3

10/4/2016

No material change

No material change

Yes

No

77689

00000492732

Stewart Oldfield

Andrew Gallivan

Zorro Development Corp.

9/29/2016

EFTA01398908

no material change
no material change
Yes
No

78200
00000496101
Thomas-B Mayer
Andrew Gallivan
Elmer Campbell Family Delaware Dynasty Trust
10/17/2016
There have been no new developments.
No Changes.
Yes
No

78201
00000496099
Thomas-B Mayer
Andrew Gallivan
Josephine Campbell Family Delaware Dynasty Trust
10/17/2016
There have been no new developments
No Changes
Yes
No

EFTA01398909

78202

00000496097

Thomas-B Mayer

Andrew Gallivan

Paul Campbell Family Delaware Dynasty Trust

10/17/2016

There have been no new developments

No Changes

Yes

No

78204

00000496140

Thomas-B Mayer

Andrew Gallivan

Shelley Campbell Family Delaware Dynasty Trust

10/17/2016

There have been no new developments

No changes

Yes

No

Please let me know if you have any questions.

EFTA01398910

Regards,

Vaishali Mehta

Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management

EFTA01398911

Classification: For internal use only

Hello Andrew

Could you please approve the below ACUs completed for High Risk Clients for this month?

Regards,

Vaishali Mehta

Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management

Classification: For internal use only

Hello Andrew,

Could I please get one more approval? This is for last months ACUs.

Regards,

Vaishali Mehta

Head of Anti-Money Laundering Business Risk Deutsche Bank Wealth Management

EFTA01398899

Classification: For internal use only

Well aren't I the negligent one. Sorry for not having addressed this last month. Approved