EFTA Document EFTA01415287

Carl Timcke From: Sent: To: Subject: Attachments: Categories: Renee Salhi on behalf of PWMUS AMLKYC Thursday, October 13, 2016 3:40 PM Cynthia Rodriguez; PWMUS AMLKYC CLEARED: RDC alert_Jeffrey Epstein and PCR alert_Jeffrey Epstein [I] Chip Packard Approval - Jeffrey Epstein.pdf; CLEARED_Jeffrey Epstein _RDC Alert,Jeffrey Epstein PCR Aler.pdf Blue Category Classification: For internal use only Hello Cynthia, AML Compliance has reviewed the one PCR alert and three RDC alerts and generated for Jeffrey Epstein, Grantor of the Butterfly Trust, client of the Private Bank. RDC Alerts: Alert #1: The subject of the alert is a positive match the grantor. AML Compliance previously reviewed the subject matter of this alert and provided clearance on August 13, 2013. I have attached the clearance for your reference. Alert #2: • The subject of the alert is who resides in • The grantor is Jeffrey Edward Epstein who resides in Saint Thomas, Virgin Islands. AML Compliance clears this alert from an AML perspective as the middle name and location of the grantor does not match that of the alert subject. Alert #3: •• he subject of the alert is who resides in II( • he grantor is Jeffrey E. Epstein who resides in Saint Thomas, Virgin Islands. AML Compliance clears this alert from an AML perspective as the middle initial and location of the grantor does not match that of the alert subject. PCR Alerts: • The subject of the alert is who resides in III/he grantor is Jeffrey E. Epstein who resides in Saint Thomas, Virgin Islands. AML Compliance clears this alert from an AML perspective as the middle EFTA01415287 initial and location of the grantor does not match that of the alert subject. Renee Salhi 1 EFTA01415288 Renee Salhi Associate I AML Compliance Officer Deutsche Bank Securities Inc. Private Wealth Management - AML Compliance 5201 Gate Parkway, 2nd floor Jacksonville FL 32256 Tel. Email Visit us: http://www.db.com Leistung aus Leidenschaft From: Cynthia Rodriguez Sent: Thursday, October 13, 2016 10:25 AM To: PWMUS AMLKYC Subject: RDC alert_Jeffrey Epstein and PCR alert_Jeffrey Epstein [I] Dear AML Compliance, Attached are RDC/PCR alerts for Jeffrey Epstein, a current client at DB. He is grantor in the Butterfly Trust, which we are doing a KYC Update on the new beneficiaries. See case 01650218. The attached alerts reference Mr. Epstein as a sex offender, serving a 21 month sentence for fraud, sexual assault, solicitation of prostitution and paying a settlement total of $437,00 in disgorgement of trading profits, prejudgement interest and civil penalties . These alerts have previously been cleared with AML compliance. No new alerts have come up. Please provide clearance. Thank you. Kind regards, Cynthia Rodriguez Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email From: Sent: Wednesday, October 12, 2016 5:02 PM To: Cynthia Rodriguez 2 EFTA01415289 Cc: PWM BIS-Research; PWMUS AMLKYC Subject: RDC alert_James R. French, Jeffrey Epstein and PCR alert_Jeffrey Epstein [I] Classification: For internal use only Hello, Attached is the alerts 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. Kind regards, Akash-Kumar Gomesh Akash-Kumar Gomesh Trainee Analyst I Business Information Search DBOI Global Services Private Limited COO Wealth Management Operations A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City SEZ, 302029 Jaipur, India Mobile Email 3 EFTA01415290