EFTA01416819.pdf

Subject: CLEARED: RDC Alert Richard Kahn I] From: Kshitij Golani > Date: Wed, 05 Jul 2017 14:33:17 -0400 To: Cynthia Rodriguez <a> Cc: PWMUS AMLKYC Classification: For internal use only Hi Cynthia, AML Compliance has reviewed the attached RDC alerts and agrees with your assessment that these have been previously cleared. However, just to add to the reasons provided for the clearance of the alerts, based on external sources, the middle initial of our client's trustee is "D". The subject in alert 1 has a middle name of "Paul" and the subject in alert 2 has a middle name of "Jeffrey". Based on the reasons listed in the clearance email combined with the above findings, AML compliance clears these alerts as false positive. Thanks {cid:[email protected]} Kshitij Golani (K.G.), CAMS Vice President I AML Compliance Officer Deutsche Bank 60 Wall Street, 10005-2836 New York, NY, USA EFTA01416819 From: Cynthia Rodriguez Sent: Friday, June 30, 2017 10:03 AM To: PWMUS AMLKYC Subject: RDC Alert Richard Kahn Dear AML Compliance, Attached is an RDC alert for Richard Kahn, appearing on the NY stock exchange disciplinary actions. I believe this alert has previously been cleared. Please see attached clearance and provide updated clearance. Thank you. Kind regards, Cynthia Rodriguez {cid:[email protected]} Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 10154-0004 New York, NY, USA EFTA01416820