EFTA01255916.pdf

Cynthia Rodriguez From: Kshitij Golani Sent: Wednesday, June 28, 2017 2:07 PM To: Cynthia Rodriguez Cc: PWMUS AMLKYC Subject: CLEARED: RDC/PCR Alerts for Jeffrey Epstein and Darren Indyke II] Attachments: Darren K. Indyke PLLC PCR ALERT_1.pdf; Darren K. Indyke PLLC PCR ALERT.PDF; PCR Alert 1 - Darren Indyke.pdf; Darren K. Indyke PLLC PCR ALERT.PDF; PCR HIT _ Jeffrey Epstein.pdf; PCR HIT 1_ Jeffrey Epstein.pdf; RDCAlert _ Jeffrey Epstein.pdf; PCR Alert - Darren Indyke.pdf; Darren Indyke Clearance.pdf; CLEARED J Epstein.pdf Classification: For Internal use only Hello, AML Compliance has reviewed the PCR and RDC alerts generated (06/15/17-06/16/17) for Jeffrey Epstein and Darren K Indyke and AML Compliance clears this alert from an AML perspective as the alerted material was previously reviewed and cleared on (10/12/16-10/13/16). Please see attached. Thanks Kshitij Golani (KG.), CAMS Vice President I AML Compliance Officer Deutsche Bank 60 W Street I OCHIS-28,1S New York, NY, USA Tel Emai From: Carl Timcke On Behalf Of PWMUS AMLKYC Sent: Wednesday, June 28, 2017 11:58 AM To: Kshitij Golani <kshitij.golani@db.com> Subject: FW: RDC/PCR Alerts for Jeffrey Epstein and Darren Indyke ill Classification: For internal use only Hi K.G., I'm having issues opening the email attachments. Please let me know if you are missing anything or I can assist. Regards, Carl Timcke 1 SDNY_GM_00065075 CONFIDENTIAL - PURSUANT TO FED. R.WN(F IDENTIAL DB-SONY-0027900 EFTA_00175575 EFTA01255916  Carl Timcke Associate I AMI. Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2nd floor Jacksonville, Florida 32256. USA Pnci0s..'fuavfbOtt. From: Cynthia Rodriguez Sent: Friday, June 23, 2017 2:39 PM To: PWMUS AMLKYC <pwmus.amlkyc@db.com> Subject: RDC/PCR Alerts for Jeffrey Epstein and Darren Indyke Classification: For inktmal use only Dear AML Compliance, Attached are RDC/PCR alerts for Jeffrey Epstein and Darren Indyke, part of KYC remediation case 01790820. These alerts have previously been cleared on 10/2016. Attached are the clearances. Please provide updated clearance. Thank you, Kind regards, Cynthia Rodriguez Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue, 24th Fl 101540004 New York, NY. USA 2 SDNY_GM_00065076 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027901 EFTA_O01175576 EFTA01255917  From: Darnetta Chandler-Johnson Sent: Thursday, June 22, 2017 4:48 PM To: Cynthia Rodriguez Cc: Stewart Oldfield; Daphne Cales; Patrick Harris; Vaishali-P Mehta Subject: KYC Remediation - Southern Financial Relationship [I] Classification: For internal use only Hello Cynthia, The following KYC's are being assigned to you. Please review and comment, edit where necessary. The Volcker needs to be completed for all required parties. Please review PEP classification on all parties. Please review the research on checklist and make comments where needed. o KYC needs to be submitted to the KYC team first and not AML The KYC team will forward accordingly. o Make sure to review all the information with the client and acquire missing information and confirm no material changes have occurred. KYC 1790655 —Jeffrey Epstein, Southern Financial LLC, Southern Trust Company, Inc. and J. Epstein Virgin Islands Foundation, Inc, - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. ID found for Darren Indyke is expired. KYC confirms Jeffrey Epstein, Harry Beller, and Darren Indyke as the signor's/POA on the accounts, Signature card list Jeffrey Epstein. For Southern Financial LLC KYC confirmsleffrey Epstein, Darren Indyke and Jeanne Brennan as the signor's/POA on the accounts, and for Southern Trust company Inc KYC confirms Jeffrey Epstein, Darren Indyke, Harry Beller and Jeanne Brennan as the signor's/POA on the accounts. Please make sure that compliance has given clearance on RDC & PCR Alerts for customer. KYC 1790685 — Hyperion Air LLC, Plan D LLC, JEGE LLC and JEGE Inc., - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties con. KYC firms Jeffrey Epstein, Harry Beller and Darren Indyke as the signor's/POA on all 3 accounts, Signature card only list Jeffrey Epstein, Harry Beller. Photo ID found for Darren Indyke found under GCIS 487199 is expired. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1791049 — The 2007 Jeffrey Epstein Insurance Trust No. 3, and HBRK Associates Inc., - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Photo ID's Darren Indyke is expired. Signature cards confirms Jeffrey Epstein, Richard Kahn and Darren Indyke as the signor's on The 2007 Jeffrey Epstein Ins., and Richard Kahn and Harry Beller for HBRK Assoc. Inc. Please make sure that compliance has given clearance on RDC & PCR Alert for Richard Kahn. KYC 1790724 - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Signature card confirms and Karyna Shuliak as the signor's on the account. Photo ID's for both Signors are expired, found under the KYC attachment. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. 3 SDNY_GM_00065077 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027902 EFTA_00175577 EFTA01255918  KYC 1790739 — Gratitude America - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Photo ID for Darren Indyke is expired, found under . Signature card confirms Jeffrey Epstein and Darren Indyke as the signor's on the account. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790748 — Neptune, LLC- comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Photo ID for Darren Indyke is expired, found under . KYC confirms 3 signors/POA on the account. Signature card only list Jeffrey Epstein, Harry Beller. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790755 — NES LLC - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Photo ID's Darren Indyke is expired, found under . KYC confirms 3 signors/POA on the account. Signature card only list Jeffrey Epstein, Harry Beller. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790768 — Butterfly Trust - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Photo ID found for the UBO. Photo ID's found in the repository are not for the UBO's . KYC firms Harry Beller and Erika Kellerhals as the signor's/POA . Signature cards in the repository list Richard Kahn and Darren Indyke as the signor's on the account. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790820 — Zorro Management LLC - comments made on research for all parties. Please review and edit where necess have been completed for the required KYC parties. Photo ID for Darren Indyke is expired, found under Signature card confirms Jeffrey Epstein, Darren Indykel as the signor's on the account. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790849 — ISLE LLC - comments made on research for all parties. Please review and edit where necessary. Searches have been completed for the required KYC parties. Photo ID for Darren Indyke is expired, found under . Signature card confirms Jeffrey Epstein and Darren Indyke as the signor's on the account. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790854 - MORT Inc - comments made on research for all parties. Please review and edit where necessa a rche have been completed for the required KYC parties. Photo ID for Darren Indyke is expired, found under Signature card confirms Jeffrey Epstein and Darren Indyke as the signor's on the account. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. KYC 1790862 — The Haze Trust - comments made on research for all parties. Please review and edit where necessa . Searches have been completed for the required KYC parties. Photo ID for Darren Indyke is expired, found under . Signature card confirms Darren Indyke is the only signor on the KYC and Signature card for the account. Please make sure that compliance has given clearance on RDC & PCR Alert for customer. 4 SDNY_GM_00065078 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SONY-0027903 EFTA_00175578 EFTA01255919  KYC 1790869 — leepers, Inc - comments made on research for all parties. Please review and edit where necessary. Photo ID for Darren Indyke is expired, found under . KYC specifies Jeffrey Epstein, Harry Beller, Jeanne Brennan, Darren Indyke as signors/POA and Signature cards in the repository only specifies Jeffrey Epstein, Harry Beller, and Jeanne Brennan as signors Please make sure that compliance has given clearance on RDC & PCR Alert for customer. Best Regards, Darnetta SDNY_GM_00065079 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0027904 EFTA_00I75579 EFTA01255920