EFTA Document EFTA01299248

Message From: on behalf of Sent: To: CC: Subject: Attachments: Richard D Kahn rdc alert_l.pdf; Richard D Kahn rdc alert.pdf Revised_CLEARED_Richard D Kahn rdc alert [II Classification: For internal use only Hi Amanda - This is a revision to the below clearance for Mr. Kahn - after further review it appears the below alert dated 9/3/2013 is a false positive. AML Compliance has reviewed an email dated 10/31/2013 that the business received from Mr. Kahn attesting that he has not been bared from NYSA Arca and that he is not the same individual as the alerted party. According to that email, our Mr. Kahn has been working at his company, HBRK Associates Inc for the past 3 years. The alert involves a Richard Kahn who was a limited partner of PennMont Securities, a former broker dealer, NASDAQ OMX PHLX and NYSE Arca member. On February 26, 2013 PennMont was banned from NYSE Arca membership due to various accounting, record keeping, and supervisory control deficiencies. AML Compliance finds these statements made by our Mr. Kahn reasonable evidence, and clears this alert as a false positive. Please see the email chain attached to this KYC, thanks! Best, Michael Michael Vila Team Manager I AML Compliance Deutsche Bank Securities Inc . 32256 Jacksonville. USA Tel Email PaninoV Peelrbow ItAmanda Kirby---09/04/2013 11:09:44 AM---Classification: For intemal use only Hi, The below RDC alerts do pertain to our client. Richard D From To: Cc: Date: 09/0402013 11:09 AM Stbject: Re: Richard D Kahn rde clod In SDNY_GM_00065030 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0027855 EFTA_00 175530 EFTA01299248 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 U Kahn rdc alert.pdfl (See attached file: Richard D Kahn rdc alert 1.14) RIPWM 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 09/03/2013 04:32 PM Subject Richard D Kahn rdc alert In 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 odf' dele ed by I [attachment "Richard D Kahn rdc alert_1.pdt deleted by Regards Urvashi SDNY_GM_00065031 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0027856 EFTA_OOI 75531 EFTA01299249