EFTA Document EFTA01403847

Subject: Re: CLEARED: PCR ALERT - From: Amanda Kirby Date: Fri, 28 Nov 2014 13:27:05 -0500 To: PWMUS AMLKYC Cc: [email protected], PWMUS AMLKYC Classification: For internal use only Thank you Best, Amanda Kirby [I] Amanda Kirby Deutsche Deutsche 345 Park Tel. Fax + Email Bank Trust Company Americas Asset & Wealth Management Avenue, 10154-0004 New York, NY, USA Securities offered through Deutsche Bank Securities Inc. {Inactive hide details for PWMUS AMLKYC---11/28/2014 01:24:50 PM--- Classification: For internal use only Hi Amanda: AML Complian}PWMUS AMLKYC---11/28/2014 01:24:50 PM---Classification: For internal use only Hi Amanda: AML Compliance has reviewed the attached PCR alerts From: PWMUS AMLKYC/db/dbcom To: Amanda Kirby/db/dbcom@DBAMERICAS, Cc: PWMUS AMLKYC/db/dbcom@DBAmericas Date: EFTA01403847 11/28/2014 01:24 PM Subject: CLEARED: PCR ALERT - Classification: For internal use only Hi Amanda: [I] AML Compliance has reviewed the attached PCR alerts for The alerts are not a match as the first alert refers to an individual born in 1969 or 1970. Per the business, the client was born in 'M. The second alert pertains to an individual who is married to a Russian PEP named Oleg Vladimirovich. Per the attached; the prospective client has no relations with a Russian diplomat. Based on this information, AML Compliance clears this alert from an AML perspective. Kind Regards, MC 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. Mobil Email Visit us: http://www.db.com Forwarded by Monifa Crawford/db/dbcom on 11/28/2014 01:19 PM EFTA01403848 From: Amanda Kirby/db/dbcom To: PWMUS AMLKYC/db/dbcom@DBAmericas, Date: 11/28/2014 12:09 PM Subject: Fw: PCR ALERT - [I] Classification: For internal use only HI, The first alert pertains to a woman born in either 1969 or 1970 and our client was born in . The second alert pertains to a woman with the same name who is married to a Russian ambassador. Per the attached email exchange our client has no relation (Richard Kahn is the manager of this account and sole authorized signer.) Please clear the alerts. Thank you [attachment "PCR Response from RIch 11.28.2014.pdf" deleted by Amanda Kirby/- db/dbcom] Best, Amanda Kirby Amanda Kirby Deutsche Deutsche 345 Park Tel. Fax + Email Bank Trust Company Americas Asset & Wealth Management Avenue, 10154-0004 New York, NY, USA EFTA01403849 Securities offered through Deutsche Bank Securities Inc. Forwarded by Amanda Kirby/db/dbcom on 11/28/2014 12:06 PM From: PWM BIS-Research/db/dbcom@DBAPAC To: Cc: PWMUS AMLKYC/db/dbcom@DBAmericas Date: 11/19/2014 09:38 AM Subject: PCR 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. [attachment ' dbcom] [attachment " db/dbcom] [attachment Kirby/db/dbcom] Thanks Ahsan PCR Alert 1.pdf" deleted by Amanda Kirby/db/- PCR Alert 2.pdf" deleted by Amanda Kirby/- _PCR Alert.pdf" deleted by Amanda EFTA01403850 EFTA01403851