Subject: Your KYC has been rejected - Case #: 01946825 From: Vijay-A Sawant Date: Fri, 07 Sep 2018 10:10:02 -0400 To: Kshitij Golani Cc: Bradley Gillin Stewart Oldfield Hello Kshitij, I have worked on the below rejection points in above case, kindly refer to my comments in red below - Case #: 01946825 Relationship: SOUTHERN FINANCIAL RELATIONSHIP Customer Name: Prytanee, LLC Customer Number: 00000550868 Reason for Rejection:7/31 A — Please provide a recent document that will serve as address proof. The IRS document is from September, 2016. — July 2018 statement verifying address attached. B — Nature of Business: What do they do with the artwork? Do they purchase it and re-sell it? Does the trust only hold artwork as assets? — Comments updated C — Please check to see if there is a memo that was accompanied by Chip Packard's approval. If there is none, I recommend "refreshing" the approval with current senior management. The current e-mail approval does not address what exactly is being discussed and approved. — Kindly refer to attached email from Kim Hart which addresses this point. Hope it is satisfactory. D — The address of employer for Caroline is missing. In addition, please include how long she has been with that company etc. - Updated E — The "How Was the Client(s) Introduced? How long has the RM personally known the client?" field talks about Zorro Management. Please amend. - Updated F — New fields were added as part of Dbforce change last weekend. Please ensure those fields are filled out. — updated Hope this resolves all the issues in this case. I look forward to feedback, if any, thanks. EFTA01415695