Subject: Assistance re uired in resolving points - KYC #01977695 [I] From: Alka Babu Date: Wed, 24 Oct 2018 09:13:47 -0400 To: Bradley Gillin Richard Iarossi Cc: Vinita Advani Vijay-A Sawant Classification: For internal use only Hi Brad, We had a rejection for the captioned KYC for accounts The 2007 Jeffrey E. Epstein Insurance Trust #3, The Haze Trust, NES, LLC, Plan D, LLC We need your inputs on the points highlighted in red. Case #: 01977694 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 Customer Number: 00000487199 Reason for Rejection:10/19/2018 - Rejection Points: 1. Please provide evidence of or a case comment regarding confirmation from the client that the information on the KYC is still accurate (i.e. ownership structure, signatories, etc. have not changed). The comment must include the name of the person spoken with and date this conversation occurred. (The attached internal email does not meet this requirement.) — Have attached the no material confirmation received by you for your reference, however we need more info as per the rejection point. 3. Andrew Gallivan's approval is not dated on the KYC. — Please advise Andrew Gallivan to input the approval date in the case. a. 5. The nature of business narrative for NES LLC states the entity was formed to take care of the expenses associated with running one of Jeffrey's homes. However, the KYC states the purpose of its DDA account is to pay for costs associated with Jeffrey's airplanes. Please review and EFTA01406210