EFTA Document EFTA01360335

From: on behalf of Sent: To: CC: Subject: Attachments: Monifa Crawford PWMUS AMLKYC 11/14/2014 11:24:18 AM Amanda Kirby PWMUS AMLKYC CLEARED: Richard Kahn rdc and per alert Ili Richard Kahn Clearance.pdf; pic15134.gif; pic20548.gif; Richard Kahm Email Confirmation for Compliance.pdf; Richard Kahn RDC Alert CLEARANCE 2013.pdf; pic11136.gif; pic11126.gif; Richard Kahn per alert.pdf; Richard Kahn per alert_tpdf; Richard Kahn rdc alert.pdf; Richard Kahn rdc alert_1.pdf Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached ROC and PCR alerts dated 11/13/2014 for Mr. Kahn. The alerts reference the same incident that AML Compliance provided clearance for on 11/1/2013. AS such, that same clearance is applicable to the current search results. I have attached it for your review. Please let us know if you need anything further. (See attached file: Richard Kahn Clearance.pdf) Kind Regards, MC (Embedded image moved to file: pic15134.gif) Monifa Crawford, JD Associate I ABC Compliance Officer Deutsche Bank Securities Inc. Asset wealth Management - AML compliance 5022 Gate Parkway, suite 400. Jacksonville, Florida 32256. USA Visit us: http://www.db.com (Embedded image moved to file: pic20548.gif) Forwarded by monifa Crawford/db/dbcom on 11/14/2014 From: To: Cc: Date: Subject: Amanda Kirby PWMUS AMLKYC PWM BIS-Research 11/14/2014 10:58 AM Fw: Richard Kahn rdc and per alert [I] 11:17 AM Classification: For internal use only This search was requested to a date range beginning in September of 2013. This alert is prior to 2013 and was previously cleared. Please see the attached clearance below and if there is any further action necessart CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048609 CONFIDENTIAL SDNY_GM_00194793 EFTA01360335