RE: KYC Remediation update [I]
Hi Vijay,
Please send an updated summary list when you can. I would like to review with the team before my MTA. Thanks.
Regards,
Brad
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Bradley Gillin
Vice President
Deutsche Bank Wealth Management
345 Park Avenue, 24th Floor
New York, NY 10154
Email: [Redacted]
Securities offered through Deutsche Bank Securities Inc.
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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 QP, 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.
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.
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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 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.
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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