EFTA01448852

From: Michael Vila - on behalf of Sent: To: CC: PWMUSAMLKYC 9/4/2013 4:28:36 PM Amanda Kirby Andrea Klingenberg ; Paul Morri PWM BIS-Research PWMUS AMLKYC I Urvashi Lavania Subject: CLEARED Richard D Kahn rdc alert hj Attachments: Richard D Kahn rdc alert.pdf; Richard D Kahn rdc alert_1.pdf Classification: For internal use only Hi Amanda - As per our conversation, AML Compliance clears the below alert - this is a POSITIVE hit - this alert was generated regarding the trustee of the perspective client, a trust for Jeffrey Espstien, who is a current DB Client. The trustee is an account, who is named in an NYSE ARCA, Inc regulatory proceeding dated April 20, 2012. It appears that the 21 defendants are/were in violation of NYSE ARCA Equities Rule 10.2(d) for filing to provide testimony as request by FINRA. NIL Compliance clears this alert, as 1) this is an account who will be the trustee of the a perspective client, 2) the settlor (Jeffery Epstien) is not related to the FINRA proceeding, and 3) there is no other negative media pertaining to Mr. Kahn. As such this is CLEARED from an AML Pesepctive. Best, Michael From: To: cc: morris/db Date: 09/04/2013 11:09 AM Amanda Kirby/db/dbcom PWMUS AMU:VC/a Andrea Klingenberg/db illiiiiiiiiiiiiiria/db PWM Bis-Research/db■ Subject: Re: Richard D Kahn rdc alert [I] Classification: For internal use only Hi, The below RDC in question. account for a pose any risk alerts do pertain to our client. Richard D Kahn is the person However, he will not be a client of the bank. We are opening an trust, for which he is a trustee. It does not seem that he would (reputational or otherwise) to the bank. Please approve (See attached file: Richard D Kahn rdc alert.pdf) (See attached file: Richard D Kahn rdc alert_l.pdf) From: PWM Bis-Research/db/dbcom@DBAPAc Paul CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 103984 CONFIDENTIAL SDNY_GM_00250168 EFTA01448852