EFTA01360823.pdf

From: Ahsan Manzoor on behalf of PWM 81S-Research j Sent: 10/2/2013 4:20:07 PM To: CC: PWMUSAMLKYC I Subject: RDC ALERT • Neptune, LLC jlj Attachments: Neptune, LLC_RDC Alert.pdf Classification: For internal use only 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. (see attached file: Neptune, LLC_RDC Alert.pdf) Thanks, Ahsan Manzoor CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0049404 CONFIDENTIAL SDNY_GM_00195588 EFTA01360823