EFTA01299283.pdf

Ei Current Classification: (dick here for help) Internal Revised_CLEARED_Richard D Kahn rdc alert [I] PWMUS AMLKYC to Amanda Kirby 11/011201310:54 AM Sent by: Michael Vila Cc: Jacqueline Lightbody, PWMUS AMLKYC, Janice Franklin 2 attachments Richard D Kahn rdc alert_l pdf Richard D Kahn rdc alertpdf Classification: For internal use only Hi Amanda - This is a revision to the below clearance for Mr. Kahn - after further review it appears the below alert dated 9/3/2013 is a false positive. AML Compliance has reviewed an email dated 10/31/2013 that the business received from Mr. Kahn attesting that he has not been bared from NYSA Arca and that he is not the same individual as the alerted party. According to that email, our Mr. Kahn has been working at his company, HBRK Associates Inc for the past 3 years. The alert involves a Richard Kahn who was a limited partner of PennMont Securities, a former broker dealer, NASDAQ OMX PHLX and NYSE Arca member. On February 26, 2013 PennMont was banned from NYSE Arca membership due to various accounting, record keeping, and supervisory control deficiencies. AML Compliance finds these statements made by our Mr. Kahn reasonable evidence, and clears this alert as a false positive. Please see the email chain attached to this KYC, thanks! Best, Michael Michael Vila Team Manager I AML Compliance Deutsche Bank Securities Inc. Asset & Wealth Management 5022 Gate Pa Suite 400. 32256 Jacksonville. USA Tel Ema PAPPift.*Peefolvt. Amanda Kirby--09/04/2013 11:09:44 AM--Classification: For internal use only Hi. The below RDC alerts do pertain to our client. Richard D SDNY_GM_00065126 CONFIDENTIAL - PURSUANT TO FED. R.QP . N (F IDENTIAL DB-SDNY-0027951 EFTA 00175626 EFTA01299283  From: Amanda Kirby/ddd0com To: Cc. Date 09/04/2013 11:09 AM Subject. Re: Richard D Kahn rdc art Ill Classification: For internal use only Hi, The below RDC alerts do pertain to our client. Richard D Kahn is the person in question. However, he will not be a client of the bank. We are opening an account for a trust, for which he is a trustee. It does not seem that he would pose any risk (reputational or otherwise) to the bank. Please approve (cue attachedfile: RichardD Kahn rdc alertiodfi (See attachedfile: RichardD Kahn rdc alert I.pdfi PWM BIS-Research---09/03/2013 04:32:05 PM—Classification: For internal use only Hello, Attached is an alert for the party mentioned above. PI From: To: Cc: Dale: 09/01/2013 04:32 PM Subject: Richard D Kahn rdc alert Iq 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. [attachment "Richard D Kahn rdc alen.pdr deleted by Amanda Kirby/db/dbcom] [attachment "Richard 0 SDNY_GM_00065127 CONFIDENTIAL - PURSUANT TO FED. R.CkM(F IDENTIAL DB-SDNY-0027952 EFTA_00175627 EFTA01299284  Kahn rdc alert_1.pdf' deleted by Amanda Kirby/db/dIxom] Regards Urvashi SDNY_GM_00065128 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027953 EFTA_00175628 EFTA01299285