EFTA Document EFTA01403735

Subject: CLEARED: Richard Kahn rdc and cr alert [I] From: PWMUS AMLKYC < > Date: Fri, 14 Nov 2014 11:24:18 -0500 To: Amanda Kirby Cc: PWMUS AMLKYC < Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached RDC and PCR alerts dated 11/13/2014 for Mr. Kahn. The alerts reference the same incident that AML Compliance provided clearance for on 11/1/2013. As such, that same clearance is applicable to the current search results. I have attached it for your review. Please let us know if you need anything further. (See attached file: Richard Kahn Clearance.pdf) Kind Regards, MC (Embedded image moved to file: pic15134.gif) Monifa Crawford, JD Associate I AML Compliance Officer Deutsche Bank Securities Inc. Asset Wealth Management - AML Compliance 5022 Gate Parkway, Suite 400. Jacksonville Florida 32256. USA Tel. Mobile Email Visit us: http://www.db.com (Embedded image moved to file: pic20548.gif) Forwarded by Monifa Crawford/db/dbcom on 11/14/2014 11:17 AM From: Amanda Kirby/db/dbcom To: PWMUS AMLKYC/db/dbcom@DBAmericas, Cc: PWM BIS-Research/db/dbcom@DBAPAC Date: 11/14/2014 10:58 AM Subject: Fw: Richard Kahn rdc and per alert [I] EFTA01403735 Classification: For internal use only This search was requested to a date range beginning in September of 2013. This alert is prior to 2013 and was previously cleared. Please see the attached clearance below and if there is any further action necessart (See attached file: Richard Kahm Email Confirmation for Compliance.pdf) (See attached file: Richard Kahn RDC Alert CLEARANCE 2013.pdf) Best, Amanda Kirby (Embedded image moved to file: pic11136.gif) Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email (Embedded image moved to file: pic11126.gif) Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby/db/dbcom on 11/14/2014 10:52 AM From: PWM BIS-Research/db/dbcom@DBAPAC To: Amanda Kirby/db/dbcom@DBAMERICAS, Cc: PWMUS AMLKYC/db/dbcom@DBAmericas Date: 11/14/2014 10:08 AM Subject: Richard Kahn rdc and per alert [I] Classification: For internal use only EFTA01403736 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 attached file: Richard Kahn per alert.pdf)(See attached file: Richard Kahn per alert_l.pdf)(See attached file: Richard Kahn rdc alert.pdf)(See attached file: Richard Kahn rdc alert_l.pdf) Regards Urvashi EFTA01403737