EFTA01299223.pdf

Deutsche Bank El Account Holder Name GCIS if Case 4 a Type of KYC New Relationship Internet Searches—Clei Managing Member Source of Wealth Other Signatory Account Holder Street Address Member ≥ 25% Member < 25% Productis) Banking products It Photo ID Manager Account Value <$1 MM B al ¢ Enter Country USA nt e l r.) ei 05 Entity Type LLC Name R O & cc cii comments x x x x x n/a x x x y /W0% x x x x x x 2 x x y owner soe member) Richard Kahn (Manager) x x x x x 2 2 x y Articles of Ownership Association/Inc./Org. Operating Agreement Articles of tirganization • Filing Receipt and EIN other: Confirmation Letter Articles of Legal Existence Associationlinc./Org. other: Operating Agreement Certificate of Good Standing Articles or Organization - Filing Receipt and EIN Confirmation Letter Signing Authority Articles of meets receivedComments Operating Agreement e.c. • existing client Articles dt Organization - Filing Receipt and EIN 11 Richard Kahn has been KYCds please refer to KYC #01133377 and #01133113 for more information. other: Confirmation Letter Entity Powers i Articles of 2) When doing searches for Richard and we received PCR and ROC Alerts that are false positives Structure Associationtinc.lOrg. and have been cleared by AML Compliance. Please refer to the attachments on the KYC Case for more Operating Agreement information. Articles of Organization - 3) Ran internet searches on all parties involved. Nothing indicating money laundering, tax evasion, fraud, Filing Receipt and EIN financial or other criminal activity was uncovered and there was nothing that indicated a significant other: Confirmation Letter reputational risk which may lead to a bar of client adoption or further escalation Reviewed By. Melisa Venegas Approval Date: December 2. 2014 KYC Checklist For use only SDNY_GM_00064P99 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DI3-SDNY-0027824 EFTA_00 II 75499 EFTA01299223