EFTA Document EFTA01299236

Classification For internal use only Hi Amanda, AML Compliance has reviewed the RDC and PCR alerts dated 5/28/2013 pertaining to our prospective client, Jeffrey Epstein. The RDC Alerts are positive matches for our prospect as it pertains to negative information based on reputation. However, AML Compliance clears these alerts based on the attached email approval from Chip Packard with the support of senior management on an AML reputational and legal perspective to onboard the prospective client, Jeffrey Epstein. The two PCR alerts involve a Jeffrey S Epstein that lives in Massachusetts. Our prospective client has a different middle name, Edward, and resides in New York and Florida. Accordingly, AML Compliance CLEARS these PCR alerts as false positives. Best regards, Andrew J. Kisz Andrew J. Kin Associate I MIL Compliance Officer 08 Services New Jersey. Inc. Asset & Wealth Management 50 to 400. 32256 Jacksonville. USA Tel. Email Pascitt'-fr asponw From: Amanda Kirby To: PWMUS AMLKYCi Cc: Andrea Klingenber Date: 08/12/2013 05:42 PM Subject: Fw. Jeffrey Epstein _RDC Alert.Jeffrey Epstein PCR Alert [I] Classification: For internal use only Hi, I realized I never heard back for the below clearance approval. Please let me know as soon as possible as we are now moving ahead with this client and would like to open accounts ASAP. Thank you, Amanda SDNY_GM_00065016 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0027841 EFTA_00175516 EFTA01299236 — Forwarded by Amanda Kirby on 08/12/2013 05:38 PM -- From. Amanda Kirby To: PWMUS AMLKYC Date: 06/12/2013 10:54 AM Subject: Fw. Jeffrey Epstein _RDC Alert,Jeffrey Epstein_PCR Alert (I) Classification: For internal use only Hi, Please see RDC Alerts below: RDC Alert #1: - This is our client. The accounts which we will be opening will not be in Jeffrey Epstein's name. They will be in the name of 2 companies he controls and should not pose a reputational risk - Also attached is an email from Chip Packard saying that he does not believe that there is any reputational risk in taking this client on. PCR Alert #1 and #2: - Not our client. Our client is Jeffrey E Epstein and these alerts pertain to Jeffrey S Epstein. Please approve clearance Kind regards, Amanda Kirby Amanda Kirby Associate Deutsche Asset & Wealth Management 345 P 54-0004 New York. NY. USA TeL +1 Fax + Email Securities offered hough Deutsche Bank Securities Inc. — Forwarded by Amanda Kirby on 06/12/2013 10:52 AM --- From: PWM BIS-Res To: Amanda Kirby Cc: PWMUS AMLKYC Date' 05/29/2013 11:43 AM Subject: Jeffrey Epstein _RDC Alert,Jeffrey Epstein_PCR Alert II) SDNY_GM_00065017 CONFIDENTIAL - PURSUANT TO FED. R.ctailf IDENTIAL DB-SDNY-0027842 EFTA_D0 I 75517 EFTA01299237 Classification: For internal use only Hi Amanda, 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. Jeffrey Epstein _RDC Alert ta.7-A Jeffrey Epstein _RDC Alert. pdf Epstein _RDC Alert 1.pdf Chip approval.pdf Jeffrey Epstein_PCR Alert Jeffrey Epstein_PCR Alegt.pdf _PCR Alert 2.pdf Jeffrey Epstein_PCR Alert.1.pdf Thanks Ashish Jeffrey Jeffrey Epstein SDNY_GM_00065018 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027843 EFTA_00I755l8 EFTA01299238