EFTA Document EFTA01375518

From. To Cc: Date. Subject Amanda Kirby/db/dbcom PWMUS AMLKYCielb , Andrea Klingenbergdbi Urvashi Lavaniadb PWM BIS-ResearelVdb Paul Metriskibdbcom@DEIAMERICAS 09041013 11:09 AM Re: Richard D Kahn rdc alert Ill 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 (See attached file: Richard I) Kahn rdc alai. pd/) (See (witched file: Richard I) Kahn rdc alert 1.14) PWM BIS-Research--09/03/2013 04:32:05 PM--Classification: For internal use only Hello, Attached is an alert for the party mentioned above. PI From: To: Cc: Date: Subject PWM BIS-Research/it Amanda Kirby/ell:I' PWMUS AMLKYCfdbI 0903i2013 04:32 PM Richard D Kahn rde 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/db/dbcomJ [attachment "Richard D CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071022 CONFIDENTIAL SDNY_GM_00217206 EFTA01375518