EFTA Document EFTA01299244

Amanda Kirby From: Monifa Crawford on behalf of PVVMUS AMLKYC Sent: Friday, February 06, 2015 4:09 PM To: Amanda Kirby Cc: PWMUS A Subject: rdc alert Attachments: RDC Clearance.pdf; rdc alert.pdf Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached alerts for Ms. . The alerts are a positive match to Ms. The first alert refers to a civil racketeering lawsuit, to which Ms. was cleared of all charges. The second alert refers a 2008 suit in which Ms. was named as a defendant which alleged that Mr. Epstein sexually abused underage girls. This suit was dropped, and Mr. Epstein plead guilt to soliciting prostitution and served a year in jail. The attached clearance and senior management approval issued by AML Compliance on 12/4/2013 is applicable as clearance for the alerts. The new alerts came about as there is an u ate to KYC AML Compliance also confirmed that the relationship is still marked as Ff k, and Ms. is one of several beneficiaries of a trust where Mr. Epstein is the Grantor of (Butterfly Trust). Ms. is not opening an account and has no authority on the trust account. As such, the attached clearance is still applicable for both alerts. (See attached file: Kind Regards, MC Monifa Crawford, JD Associate I AML Compliance Officer rdc alertpdp(See attached file: RIX' Clearancepdf) Deutsche Bank Securities Inc. Private Wealth Management - AML Compliance 5022 Gate Parkway. Suite 400. • 2256. USA Visa us: http:itenvw.db.com -- Forwarded Forwarded by Monifa Crawford/db./db.:am on 02/051015 03:23 PM — From Amanda Kirby 1 SDNY_GM_00065026 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027851 EFTA (H) 175526 EFTA01299244 To FWMUS AMLKYCklb Date 02/06201512:59 PM Subject RE: FW: rdc alert Ill Classification: For Internal use only Hi, Yes. This is part of the same suit which was settled in 2008. She was not found guilty of any crime and does not have anything on her record. Both alerts pertain to the same case. It was resolved and she was cleared From: Monifa Crawford On Behalf Of PWMUS AMLKYC Sent: Friday, February 06, 2015 12:55 PM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: RE: FW: rdc alert [I) Classification: For internal use only Thanks. Do you have any information on the second alert from the client? It does not appear that this was prior addressed in previous clearances. Has the sex offense suit been resolved? MC Amanda Kirby---02/06/2015 12:48:35 PM---Classification: For intemal use only Yes. This is still correct. She is only the beneficiary of the account and not opening he From: To: Date Subject: Amanda Kirby PVVMUS AMLKYC/a, 02706/201512:48 PM RE: FW: rdc alert II) Classification: For Noma) use only Yes. This is still correct. She is only the beneficiary of the account and not opening her own account. From: Monifa Crawford On Behalf Of PWMUS AMLKYC Sent: Friday, February 06, 2015 12:45 PM To: Amanda Kirby Cc: PWMUS AMLKYC 2 SDNY_GM_00065027 CONFIDENTIAL - PURSUANT TO FED. R.ctailf IDENTIAL DB-SONY-0027852 EFTA_00 175527 EFTA01299245 Subject: Re: FW: rdc alert (I] Classification: For internal use only Hi Amanda: The last time the alert was reviewe was named as one of the beneficiaries of a trust where Mr. Epstein was the Grantor of (Butterfly Trust). Ms. was not opening an account and has no authority on the trust account. Please advise if this is still her current status on the accounts with the Private Bank. Kind Regards, MC Monifa Crawford, JD Associate I AML Compliance Officer Deutsche Bank Securities Inc. Private Wealth Management - AML Compliance 5022 Gate Parkway. Suite 400. • 2256. USA Visit us: htbflwnv.db.com Rtillatrtn:Ityglaffienst. Amanda Kirby---02/06/2015 09:56:42 AM---Classification: For intemal use only These alerts are from 2008. I requested research after October 2013 as the below had alre From To: Date: Subject: Amanda Kirby PMIUS AMLKYCa. 02/06/2015 09:56 AM FW: rdc alert pi Classification: For Internal use only 3 SDNY_GM_00065028 CONFIDENTIAL - PURSUANT TO FED. R.ckCIN(F IDENTIAL DB-SONY-0027853 EFTA_00 175528 EFTA01299246 These alerts are from 2008. I requested research after October 2013 as the below had already been cleared in the last KYC. Please clear again. Attached is the prior clearance. From: Urvashi Lavania On Behalf Of PWM BIS-Research Sent: Friday, February 06, 2015 9:52 AM To: Amanda Kirby Cc: PWMUS AMLKYC Subject: rdc alert [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 atutched rdc alert 114) rdc alertpdfi(See attached file: rdc alert I pdp(See attached file: Regards Urvashi[attachment rdc alert.pdf' deleted by Monif /dbcom] [attachment alert_l .pdt" deleted by Monifa Crawf r / / m] [attachment alert_2.pdr deleted by Monifa Crawford/db/dbcom] [attachment RDC Clearance.pdr deleted by Monifa Crawford/db/dbcom] 4 SDNY_GM_00065029 rdc CONFIDENTIAL — PURSUANT TO FED. R.COFilf IDENTIAL DB-SDNY-0027854 EFTA_00 175529 EFTA01299247