EFTA01405074.pdf

Subject: CLEARED Neptune From: PWMUS AMLKYC Date: Tue, 08 Oct 2013 10:26:59 -0400 To: Amanda Kirby Cc: PWMUS AMLKYC Jacqueline Lightbody < Classification: For internal use only Hi Amanda, AML Compliance reviewed the RDC alert dated 10/02/2013 pertaining to Neptune, LLC. Our client is a Virgin Islands Company that is incorporated as an LLC. This alert pertains to a boat registered in Tanzania with an alias of "Neptune", which appears on the OFAC list. Accordingly, AML Compliance CLEARS this alert as a false positive. Kind regards, Andrew Kisz (Embedded image moved to file: pic27242.gif) Andrew Kisz Associate I AML Compliance Officer DB Services New Jersey, Inc. Asset a Wealth Management 5022 Gate Parkwa Suite 400, 32256 Jacksonville, USA Tel. Email (Embedded image moved to file: pic04410.gif) From: Amanda To: PWMUS CC Mzchael Andrea Paul Morris/ - Date: 10/02/2013 04:27 PM Subject: Fw: RDC ALERT - Neptune, LLC (I] Classification: For internal use only Hi, Attached is an RDC Alert associated with Neptune, LLC. This alert pertains to a boat registered in Tanzania with an alias of "Neptune". The Neptune, LLC we are dealing with is an LLC based in St. Thomas, USVI. The RDC Alert is not for our client. Please approve that it be cleared Best, Amanda Kirby (Embedded image moved to file: pic30959.gif) EFTA01405074 Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY USA 10154-0004 Tel. Fax Emai (Embedded image moved to file: pic07055.gif) Forwarded by Amanda on 10/02/2013 04:24 PM From: PWM BIS-Research/db/dbcom9DBAPAC To: Cc: PWMUS Date: 10/02/2013 04:20 PM Subject: RDC ALERT - Neptune, LLC [I] 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 EFTA01405075