EFTA Document EFTA01353365

From: Amanda Kirb Sent: 10/2/2013 4:27:56 PM To: PWMUSAMLKYC CC: Michael Vila Andrea Klingenberg ; Paul Morris Subject: Fw: ROC ALERT - Neptune, LLC [I] Attachments: pic20839.gif; pic09303.gif; Neptune, LLC_RDC Alert.pdf 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: pic20839.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. +1(212)454-6439 Fax +1(646)863-9836 Email [email protected] (Embedded image moved to file: pic09303.gif) Forwarded by Amanda Kirby/db/dbcom on 10/02/2013 04:24 PM From: PUN BIS-Research/db/dbcom@DBAPAc To: Cc: MMUS AMLKYC/db/dbcom@DBAmericas 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, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0037711 CONFIDENTIAL SDNY_GM_00183895 EFTA01353365