EFTA Document EFTA01299264

Cynthia Rodriguez From: Sent: To: Cc: Subject: Attachments: Importance: Carl Timcke on behalf of PWMUS AMLKYC Tuesday, February 06, 2018 10:46 AM Cynthia Rodriguez PWMUS AMLKYC CLEARED: RUSH RDC Alert_ The 2017 Caterpillar Trust [I] RDC alert_ The 2017 Caterpillar Trust.pdf; RDC alert_ 1 The 2017 Caterpillar Trust.pdf High Classification: For Internal use only Good morning Cynthia, AML Compliance has reviewed the 2 ROC Alerts generated 2/5/18 for The 2017 Caterpillar Trust, a new account for the Southern Financial relationship; a relationship of the Private Bank since 2013. Both alerts contain the same subject material. Both alerts contain the same subject material. Our Party: The 2017 Caterpillar Trust, Incorporate din 2017 in the U.S, with an address in St. Thomas. This is a grantor retained annuity trust that holds membership interest in IGO Company LLC. Alert Subject: Caterpillar Inc. (NYSE: CAT) is an American Fortune 100 corporation which designs, develops, engineers, manufactures, markets and sells machinery, engines, financial products and insurance to customers via a worldwide dealer network. It is the world's largest construction equipment manufacturer. Caterpillar, founded in 1925, is headquartered in Deerfield, Illinois. AML Compliance clears these alerts from an AML perspective as a company false positive. The company name, company objective, incorporation and/or foundation date and location of Our Party do not match that of the Alert Subject. Regards, Carl Timcke Carl Timcke Associate I AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2nd floor Jacksonville, Florida 32256. USA Tel. Email 1 SDNY_GM_00065091 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0027916 EFTA_00 I 75591 EFTA01299264 From: Sent: Monday, February 05, 2018 5:32 PM To: PWMUS AMLKYC < Subject: RUSH RDC Alert_ Jeffrey Edward Epstein And The 2017 Caterpillar Trust Ill Importance: High Classification: For Internal use only Dear AML Compliance, Attached are RDC alerts for Jeffrey Epstein and The 2017 Caterpillar Trust, part of KYC case 01898372. The alerts reference the following: • Caterpillar Inc being charged with fraud after disclosure of "deliberate, multi-year, coordinated accounting misconduct" • Jeffrey Epstein pled guilty to a single state charge of soliciting prostitution The 2017 Caterpillar Trust is a trust that Mr. Epstein created and is the grantor of. The attached RDC is a false positive and Caterpillar Inc is not part of this trust in any way. Mr. Epstein's alert has previously been cleared. See attached. Please provide updated clearances. This is part of a rush KYC. The reason for the rush is for an upcoming acquisition where funds will need to be available by 2/7/2018. Thank you. Kind regards, Cynthia Rodriguez Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Aven 4th Fl 10154-0004 New York, NY, USA Tel. Fax Email 2 SDNY_GM_00065092 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0027917 EFTA_001 75592 EFTA01299265