EFTA01437307.pdf

Subject: RE: Inquiry Regarding THE HAZE TRUST, Account# Alert# SAM1788880 [I] From: Vahe Stepanian cz > Date: Fri, 02 Dec 2016 11:10:35 -0500 To: Zbynek Kozelsky Amlcompliance Inquiries Cc: Joshua Shoshan Donald Summer Stewart Oldfield Classification: For internal use only Adding Stewart Oldfield, primary relationship manager who can confirm the below. 1. What is the purpose of the Outgoing Transfer? Purchase of Art. 2. What is the relationship between Beneficiary and Client? Per our conversation with client — the beneficiary in this situation is an escrow account in which the cash will be held until art is delivered. 3. Please provide the source of wealth for these entities. Stewart — can you please add here the Private Bank KYC, which I believe includes the SOW for this client? Thank you. Best, Vahe From: Zbynek Kozelsky EFTA01437307 Sent: Friday, December 02, 2016 11:03 AM To: Amlcompliance Inquiries Cc: Vahe Stepanian; Daniel Sabba; Joshua Shoshan; Donald Summer Subject: RE: Inquiry Regarding THE HAZE TRUST, Account# Alert# SAM1788880 [I] Classification: For internal use only Vahe, Please follow up. Reason — purchase of art. Thanks {cid:image003.png@O1CFFD0A.6F882F50} Zbynek "Ziggy" Kozelsky Director I Branch Administrative Manager Key Client Partners - Americas Deutsche Bank Securities Inc. Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York NY 10154 Tel. Emai EFTA01437308 All trade execution information contained herein is being provided as an accommodation at your request in advance of your receipt of the official trade confirmation(s). Additional trade detail information available upon request. The terms of the trade(s) may be subject to change prior to settlement, and therefore the official trade confirmation(s) and account statements issued by Deutsche Bank shall govern. Deutsche Bank is not responsible for any discrepancy between the informal execution report and the official trade confirmation(s) or account statements. This email may contain confidential and/or privileged information. If you are not the intended recipient (or have received this email in error), please notify the sender immediately and delete the email from your computer. Any unauthorized copying, disclosure or distribution of the material in this email is prohibited. From: Danya Friedman On Behalf Of Amlcompliance Inquiries Sent: Friday, December 02, 2016 11:01 AM To: Zbynek Kozelsky Cc: Dcarla Oliveira; Tatiana Dominguez; Maurice Abitbol; Amlcompliance Inquiries Subject: Inquiry Regarding THE HAZE TRUST, Account# Alert# SAM1788880 [I] Classification: For internal use only Good Morning: As a part of the anti-money laundering monitoring program, the Actimize system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the Wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response is required for the Bank to comply with federal guidelines for concluding the research of these matters in a timely fashion. Your complete response must be received within 7 business days. EFTA01437309 To the best of your ability, please provide details regarding the item(s) below: Incoming: 10/27/2016, $6,186,980.68, HSBC SECURITIES SERVICES (IRELAND) DAC at HSBC BANK USA, NATIONAL ASSOCIATION 1. Who is the ultimate originator of these funds (i.e. if this is investment income, please give the name of the investment that the funds originate)? Outgoing: 11/23/2016, $25,000,000.00, AP NARROWS HOLDING LP/BMO TRUSTEE at CDEC CLEARING ACCOUNT through BANK OF AMERICA, N.A., NY 11/23/2016, $5,000,000.00, LDB 2011 LLC/BMO TRUSTEE at CDEC CLEARING ACCOUNT through BANK OF AMERICA, N.A., NY 1. What is the purpose of the Outgoing Transfer? 2. What is the relationship between Beneficiary and Client? 3. Please provide the source of wealth for these entities. Thank you in advance for your prompt attention to this matter. Best Regards/Mit freundlichen GrOgen, PWM AML Compliance Deutsche Bank 60 Wall St., 23 Floor EFTA01437310 New York, NY 10005 - pwm. Fax: PLEASE NOTE: YOU ARE BEING CONTACTED BECAUSE YOU ARE LISTED AS THE PRIMARY OFFICER FOR THIS ACCOUNT ON GCIS. IF YOU ARE NOT THE CURRENT PRIMARY OFFICER, PLEASE LET ME KNOW IMMEDIATELY, SO THAT I MAY FORWARD THIS EMAIL TO THE APPROPRIATE PARTY. Do not forward this e-mail or any attachment directly to the client. EFTA01437311