EFTA Document EFTA01360338

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 Richard D Kahn rdc alertpdf Richard D Kahn rdc alert_1.pdf PWM BIS-Research Classification: For internal use only Hello, AU... 09/03/2013 04:32:05 PM From: PWM BIS-Res To: Amanda Kirby Cc: PWMUS AML Date: 09/03/2013 04:32 PM Subject: Richard I) Kahn rdc alert PI 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 alert.pdf' deleted by Amanda Kirby[attachment "Richard D Kahn rdc alert_1.pdf" deleted by Amanda Kirby Regards Urvashi CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048612 CONFIDENTIAL SDNY_GM_00194796 EFTA01360338