EFTA01403877.pdf

Subject: CLEARED: P [I] From: PWMUS AMLKYC Date: Fri, 28 Nov 2014 13:24:48 -0500 To: Amanda Kirby Cc: PWMUS AMLKYC Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached PCR alerts for . The alerts are not a match as the first alert refers to an in ivi ua orn in 1969 or 1970. Per the business, the client was born in . The second alert ertains to an individual who is married to a Russian PEP named Per the attached; the prospective client has no relations with a Russian diplomat. Based on this information, AML Compliance clears this alert from an AML perspective. Kind Regards, MC (Embedded image moved to file: pic13976.jpg) Monifa Crawford, JD Associate I AML Compliance Officer Deutsche Bank Securities Inc. Asset Wealth Management - AML Compliance 5022 Gate Parkway, Suite 400. Jacksonville, Florida 32256. USA Tel. Mobil Email Visit us: http://www.db.com (Embedded image moved to file: pic26426.jpg) Forwarded by Monifa Crawford/db/dbcom on 11/28/2014 01:19 PM From: Amanda Kirby/db/dbcom To: PWMUS AMLKYC/db/dbcom@DBAmericas, Date: 11/28/2014 12:09 PM Subject: Fw: PCR ALERT - [I] EFTA01403877 Classification: For internal use only HI, The first alert ertains to a woman born in either 1969 or 1970 and our client was born in . The second alert pertains to a woman with the same name who is married to a Russian ambassador. Per the attached email exchange our client has no relation (Richard Kahn is the manager of this account and sole authorized signer.) Please clear the alerts. Thank you (See attached file: PCR Response from Rich 11.28.2014.pdf) Best, Amanda Kirby (Embedded image moved to file: pic23125.gif) Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email (Embedded image moved to file: pic05166.gif) Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby/db/dbcom on 11/28/2014 12:06 PM From: PWM BIS-Research/db/dbcom@DBAPAC To: Cc: PWMUS AMLKYC/db/dbcom@DBAmericas Date: 11/19/2014 09:38 AM Subject: PCR ALERT - [I] Classification: For internal use only EFTA01403878 Hello Attached is an alert for the party mentioned above. Please note that clearance from compliance is required prior to KYC approval. Please follow the instructions below: Forward explanation of whether the alert pertains to your client directly to compliance. Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC. hed file: alert lathed file: PCR Alert 2.pdf)(See attached file: PCR Alert.pdf) Thanks Ahsan EFTA01403879