EFTA01403721.pdf

Subject: Re: Your KYC has been rejected [I] From: Amanda Kirby ‹ > Date: Wed, 16 Oct 2013 14:29:07 -0400 To: Classification: For internal use only Hi Janice -- Wanted to follow up on your question regarding Richard Kahn. I don't understand why we need more information on his alert when he has already been cleared by Compliance and was approved in a KYC back in September. Please let me know Best, Amanda Kirby Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. +1(212)454-6439 Fax +1(646)863-9836 Email From: Janice Franklin a To: Amanda Kirby/db/- dbcom@DBAMERICAS, Date: 10/15/2013 03:56 PM Subject: Your KYC has been rejected Your KYC has been rejected. Case #: 01133377 Relationship: EPSTEIN, JEFFREY RELATIONSHIP EFTA01403721 Customer Name: Indyke, Darren Customer Number: 00000486405 Reason for Rejection:Please address the following: For The 2007 Jeffrey E. Epstein Insurance Trust #3: 1. Please complete Wealth Profile 2. Re-run searches with correct country. Should be US Virgin Islands, not United States. (Resolved - J. Lightbody) For HBRK Associates, Inc. (both accounts) 1. Please check the Signatory or Full POA box for the signers. (Resolved J. Lightbody) For Darren K. Indyke PLLC: 1. Please check the Signatory or Full POA box for the signers. (Resolved J. Lightbody) 2. For the Attorney Trust Account. Is this a IOLA account, and if so, please explain purpose of the checking. Currently it's noted that it will be "for the daily use of the company's needs". If this is a clients esrow account this purpose would not apply. (Resolved - J. Lightbody) For New York Strategy Group, LLC (both account); 1. Please check the Signatory or Full POA box for the signers. (Resolved J. Lightbody) Additional questions/comments: 1. I did not clearly understand whether Richard Kahn was permanently barred from NYSE Arca membership. Please add more details. 2. For HBRK Associates Inc, please have secretary certify Schedule G of Form 1120 showing ownership of the company 3. For NY Strategy Group LLC, please provide us with the following: i. evidence of powers ii. ownership iii.signing authority (resolved: J. Franklin) 4. Is Mr. Indyke an accountant (per KYC) as well as a lawyer? Please correct KYC if he is not an accountant and please run Martindale-Hubbell. To view the KYC click here https://na4.salesforce.com/5006000000TUGX EFTA01403722