From: Sent: To: CC: Subject: Attachments Hi Rich, Vijay-A Sawant 9/20/2018 7:13:59 AM Richard larossi Bradley Gillin Vinita Advani ; Daphne Cales RE: Assistance Required in Resolving Rejection Points in DB Resolution 2015.pdf; Form ADV March 2018.pdf Thank you for Mr Richter's passport, however as per DB policy, we require SSN for any UBO who is a US citizen. Unfortunately, our research reports do not show the entire SSN# as the last four digits are crossed out, it shows Mr Richter's SSN as Could we request for this from the client? One of the rejections points in this case is requirement of DB Corp Resolution for the DBAG NY Preferred Banking Account as we have one only for the deposit acct (#44135476), attached for reference. Could we procure this corp resolution for please? Another rejection point is requesting us to verify Jeffrey Lomasky's (the authorized signer's) DOB. I could not find any ID dots for this individual from the repositories in DBForce. Could you provide an ID doc for Jeffrey, please? "Per external research, Cerberus Capital Management, L.P. appears to own companies engaged in the defense industry. Please indicate if the client has gone through industry rep risk. If it has not, please obtain the appropriate approval" — Could you advise on this rejection please? Kindly procure the necessary approval to proceed further. Schedule A of Cerberus Capital Management, L.P.'s Form ADV identifies Cerberus' managing directors/ key officers. Please obtain confirmation from the client indicating which individuals are deemed to be legal reps as defined by the US Country Addendum. — Attached form ADV for reference, refer Schedule A on Pg 124. Please confirm if Cerberus Capital Management, L.P.'s volcker flag is correct. — Current Volcker selection is "None of the Above". Could you confirm the answer to the followup question below for this account holder, please? Volcker Determination Question 2: Is the vertive an operatmg compa