EFTA00128810.pdf

From: Monifa Crawford [ on behalf of PWMUS AMLKYC [ Sent: 2/6/2015 4:08:43 PM To: Amanda Kirby [ CC: Subject: CLEARED alert [I] Attachments: ROC Clearance.pdf; rdc alert.pdf Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached alerts for The alerts are a positive match to The first alert refers cketeering lawsuit, to w Ic as cleared of all charges. The second alert refers a 2008 suit in which was named as a defendant which alleged that Mr. Epstein sexually abused underage girls. This suit was dropped, and Mr. Epstein plead guilt to soliciting prostitution and served a year in jail. The attached clearance and senior management approval issued by AML Compliance on 12/4/2013 is applicable as clearance for the alerts. The new alerts came about as there is an u ate to KYC 1133113. AML Compliance also confirmed that the relationship is still marked k, and s one of several beneficiaries of a trust where Mr. Epstein is the Grantor of (Butterfly Trust). is not opening an account and has no authority on the trust account. As such, the attached clearance is s I app Ica le for both alerts. (See attachedfile: fc dertmil)(See attachedfile: KU(' Clearancepdfl Kind Regards, MC Monifa Crawford, JD Associate I AML Compeance Officer Deutsche Bank Securities Inc. Private Wealth Management • AML Compliance 5022 Gate Pannvay. Suite 400. Jacksonville. Florida 32256. USA Visit us: httplivevew db corn Pncioi4v Peeporm Forvtarded by Monda faraelegillntom on 0206/2015 03.23 PM — Ruin' To. Date 02,06/2015 1259 PM Subject RE: FW: alert [II CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051034 DB-SDNY-0051034 EFTA00128810  Classification: For Infernal use only Hi, Yes. This is pan of the same suit which was settled in 2008. She was not found guilty of any crime and does not have anything on her record. Both alerts pertain to the same case. It was resolved and she was cleared From: Monifa Crawford On Behalf Of PWMUS AMLKYC Sent: Friday, February 06, 2015 12:55 PM To: Amanda Kirby Cc: PWMUS AMLKY Subject: RE: FW: dc alert [I] Classification: For internal use only Thanks. Do you have any information on the second alert from the client? It does not appear that this was prior addressed in previous clearances. Has the sex offense suit been resolved? MC Amanda Kirby---02/06/2015 12:48:35 PM---Classification: For internal use only Yes. This is still correct. She is only the beneficiary of the account and not opening he From To. 02/06201512:48 PM Deo RE: FW: rdc alert (1) subject Classification: For Infernal use only Yes. This is still correct. She is only the beneficiary of the account and not opening her own account. From: Monifa Crawford-On Behalf Of PWMUS AMLKYC Sent: Friday, February 06, 2015 12:45 PM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: Re: FW: a alert [I] Classification: For internal use only Hi Amanda: The last time the alert was reviewed, e Ms. was named as one of the beneficiaries of a trust where Mr. Epstein was the Grantor of (Butterfly Trust). Ms. as not opening an account and has no authority on the trust account. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051035 DB-SDNY-0051034 EFTA00128811  Please advise if this is still her current status on the accounts with the Private Bank. Kind Regards, MC Monifa Crawford, JD Associate I AML Compliance Officer Deutsche Bank Securities Inc. Pnvate Wealth Management - AML Compliance 5022 Gate Parkway. Suite 400 Jacksonville, Florida 32256. USA Tel. Mod Erna Visit us. hppliwww db.com RUS41, 4vaefbfrs. Amanda Kirby---02/06/2015 09:56:42 AM—Classification: For internal use only These alerts are from 2008. I requested research after October 2013 as the below had alre corn©DfitCOEX From. PWMUS AMLICYC/db/dbcomeDBAmericas. To: 02106/2015 09:56 AM Date: FVI-rdc alert [I] Subject Classification: For Infernal use only These alerts are from 2008. I requested research after October 2013 as the below had already been cleared in the last KYC. Please clear again. Attached is the prior clearance. From: Urvashi Lavania On Behalf Of PWM BIS-Research Sent: Friday, February 06, 2015 9:52 AM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: MIME rdc alert [I] Classification: For internal use only Hello CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051036 DB-SDNY-0051034 EFTA00128812  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. (See attachedfile: r rdc alert p41)(Siee wrath&fik: rdc alert 1.141)(See attachedfile: dc a en .../N Regards Urvashi[attachment rdc alert.pdr deleted by Monif /dbcom] [attachment rdc atert_l .pclf" deleted itiWwford/db/dbcom] [attachment rdc alert_2.pdf" deleted by Monifa Crawford/db/dbcom] [attachment 'aC Clearance.pdf" deleted by Monifa Crawford/db/dbcom] CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051037 DB-SDNY-0051034 EFTA00128813