EFTA01409159.pdf

Subject: CLEARED: RUSH RDC Alert The 2017 Caterpillar Trust [I] From: PWMUS AMLKYC Date: Tue, 06 Feb 2018 10:45:37 -0500 To: Cynthia Rodriguez Cc: PWMUS AMLKYC Classification: For internal use only Good morning Cynthia, AML Compliance has reviewed the 2 RDC Alerts generated 2/5/18 for The 2017 Caterpillar Trust, a new account for the Southern Financial relationship; a relationship of the Private Bank since 2013. Both alerts contain the same subject material. Both alerts contain the same subject material. Our Party: The 2017 Caterpillar Trust, Incorporate din 2017 in the U.S, with an address in St. Thomas. This is a grantor retained annuity trust that holds membership interest in IGO Company LLC. Alert Subject: Caterpillar Inc. (NYSE: CAT) is an American Fortune 100 corporation which designs, develops, engineers, manufactures, markets and sells machinery, engines, financial products and insurance to customers via a worldwide dealer network. It is the world's largest construction equipment manufacturer. Caterpillar, founded in 1925, is headquartered in Deerfield, Illinois. AML Compliance clears these alerts from an AML perspective as a company false positive. The company name, company objective, incorporation and/or foundation date and location of Our Party do not match that of the Alert Subject. Regards, Carl Timcke EFTA01409159 fcid:1 [email protected] Carl Timcke Associate I AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2nd floor Jacksonville, Florida 32256. USA fcid:[email protected] From: Sent: Monday, February 05, 2018 5:32 PM To: PWMUS AMLKYC <e> Subject: RUSH RDC Alert_ Jeffrey Edward Epstein And The 2017 Caterpillar Trust [I] Importance: High Classification: For internal use only Dear AML Compliance, Attached are RDC alerts for Jeffrey Epstein and The 2017 Caterpillar Trust, part of KYC case 01898372. The alerts reference the following: Caterpillar Inc being charged with fraud after disclosure of "deliberate, multi-year, coordinated accounting misconduct" EFTA01409160  Jeffrey Epstein pled guilty to a single state charge of soliciting prostitution The 2017 Caterpillar Trust is a trust that Mr. Epstein created and is the grantor of. The attached RDC is a false positive and Caterpillar Inc is not part of this trust in any way. Mr. Epstein's alert has previously been cleared. See attached. Please provide updated clearances. This is part of a rush KYC. The reason for the rush is for an upcoming acquisition where funds will need to be available by 2/7/2018. Thank you. Kind regards, Cynthia Rodriguez fcid:[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 Email EFTA01409161