RE: KYC Remediation update [I]
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 MTA. Thanks.
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Regards,
Brad
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Bradley Gillin
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.
EFTA01402124
Importance: High
Alka Babu
Hi Brad,
Following are the ongoing high risked accounts which are overdue for remediation in ascending order, their statuses below —
AMAAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
HATTAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
MARSA HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
JCP IV OP, LLC — DueDate 06/30/2018 — Docs received yesterday, pending review. Will advise as soon as that is done.
DueDate 07/27/2018 - Docs required as per attached 2nd email
Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs as per attached 3rd email. I am aware that you have followed up with client on this, so thanks for that.
Aircraft Acquisition Corporation — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
Sillerman Investment Company III, LLC — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form as per attached 5th email attached.
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| attached | Elderberry X, LLC - DueDate 08/03/2018 Pending CDD form as per 5th email attached. |
|---|---|
| Sillerman Investment Corporation - DueDate 08/03/2018 Awaiting docs as per 4th email attached. | |
| attached | Epstein, Jeffrey E. - DueDate 08/08/2018 - - Awaiting docs as per 5th email attached. |
| attached | Southern Financial LLC - DueDate 08/08/2018 - Awaiting docs as per 8th email attached. |
| as per | Southern Trust Company, Inc. - DueDate 08/08/2018 · Awaiting docs attached 5th email attached. |
| Docs & | J. Epstein Virgin Islands Foundation, Inc - DueDate 08/08/2018 confirmation required as per attached 10th email |
| confirmation | GoldenTree Asset Management UK LLP- DueDate 08/09/2018 Docs & required as per attached 11th email |
| attached | Gratitude America Ltd DueDate 08/16/2018- Awaiting docs as per 6th email attached. |
| 2nd email | Neptune, LLC - DueDate 08/16/2018 Docs required as per attached |
| attached | NES, LLC - DueDate 08/16/2018 - Docs & confirmation required as per 9th email. |
| LSJE, LLC - DueDate 08/18/2018 Awaiting docs as per attached 8th email attached. | |
| required | Hyperion Air, LLC - DueDate 08/18/2018 - Docs & confirmation as per attached 10th email |
| per attached | JEGE, Inc - DueDate 08/18/2018 - Awaiting confirmation & docs as 7th email |
| per attached | JEGE, LLC - DueDate 08/18/2018 - Awaiting confirmation & docs as 7th email |
| per attached | Plan D, LLC - DueDate 08/18/2018 - Docs & confirmation required as 9th email. |
| per attached | Jeepers, Inc DueDate 08/18/2018 Awaiting confirmation & docs as 7th email |
| Mort, Inc - DueDate 08/18/2018 - Awaiting docs as per attached 6th attached. | |
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Zorro Management, LLC - DueDate 08/18/2018 — Awaiting docs as per attached 5th email attached.
Happy to discuss items over a call whenever required, thanks.
Kind Regards,
{cid:1_=C7BBF707DF9B04F18f9e8a93df9386909@db.com}
Vijay Sawant
KYC Case Representative
Deutsche CIB Centre Private Limited Deutsche Bank Group
Wealth Management
B1, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway
Gore aon East, Mumbai - 400063 , India
Tel.
Mobi
Classification: For internal use only
Updates in red below.
Khullar Relationship
• AMAAN HOLDINGS LLC — Due Date 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
• HATTAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
• MARSA HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
- o Response from client, Deepak Khullar, on 8/9/18 - 'SoS for Samra- letter of good standing will have to be sourced from the registrars - CITCO and could take a week to ten days'
Jefferies Relationship:
JCP IV QP, LLC - DueDate 06/30/2018
o All outstanding KYC Docs received yesterday, pending review.
Cerberus Relationship:
• Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs as per attached 3rd email. I am aware that you have followed up with client on this, so thanks for that.
- o Working with Cerberus' Council. FinCEN Form, Certificate of Good Standings (within 6 months), and constitutional docs from 6 entities were requested.
Sillerman Relationship:
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Aircraft Acquisition Corporation — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
Sillerman Investment Company III, LLC — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
• Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form as per attached 5th email attached.
• Elderberry X, LLC — DueDate 08/03/2018 — Pending CDD form as per attached 5th email attached.
Sillerman Investment Corporation — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
o Requested FinCEN forms from Sillerman — should receive tomorrow/early next week.
Southern Financial/Epstein Relationship:
• Epstein, Jeffrey E. — DueDate 08/08/2018 — Awaiting docs as per attached 5th email attached.
• Southern Financial LLC - DueDate 08/08/2018 — Awaiting docs as per attached 8th email attached.
• Southern Trust Company, Inc. - DueDate 08/08/2018 — Awaiting docs as per attached 5th email attached.
• J. Epstein Virgin Islands Foundation, Inc - DueDate 08/08/2018 — Docs & confirmation required as per attached 10th email
• GoldenTree Asset Management UK LLP- DueDate 08/09/2018 — Docs & confirmation required as per attached 11th email
• Gratitude America Ltd — DueDate 08/16/2018— Awaiting docs as per attached 6th email attached.
• Neptune, LLC — DueDate 08/16/2018 — Docs required as per attached 2nd email
• NES, LLC — DueDate 08/16/2018 — Docs & confirmation required as per attached 9th email.
• LSJE, LLC — DueDate 08/18/2018 — Awaiting docs as per attached 8th email attached.
• Hyperion Air, LLC — DueDate 08/18/2018 — Docs & confirmation
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required as per attached 10th email
• JEGE, Inc — DueDate 08/18/2018 — Awaiting confirmation & docs as per attached 7th email
• JEGE, LLC — DueDate 08/18/2018 — Awaiting confirmation & docs as per attached 7th email
• Plan D, LLC — DueDate 08/18/2018 — Docs & confirmation required as per attached 9th email.
• Jeepers, Inc - DueDate 08/18/2018 — Awaiting confirmation & docs as per attached 7th email
• Mort, Inc - DueDate 08/18/2018 — Awaiting docs as per attached 6th email attached.
• Zorro Management, LLC - DueDate 08/18/2018 — Awaiting docs as per attached 5th email attached.
o – DueDate 07/27/2018 – Docs required as per attached 2nd email
o Certificate of Good Standing (within 6 months) requested for all above referenced entities.
Regards,
Brad
{cid:image001.gif@01D43AEE.46038410}
Bradley Gillin
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.
EFTA01402120