EFTA Document EFTA01456029

From: Amanda Kirby Sent: 11/3/2014 11:31:59 AM To: AMLCompliance Inquiries CC: AMLCompliance Inquiries ; Paul Morris I; Subject: Re: Inquiry regarding Acct# 44129914 NEW YORK STRATEGY GROUP, LLC, Case II 118954 Ill Classification: For internal use only Please see responses below Best, Amanda Kirby Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue 10154-0004 New York, NY. USA Pasceio-p,fr Patio -pm, Securities offered through Deutsche Bank Secunties Inc. AMLCompliance Inquiries---10/30/2014 03:12:25 PM--Classification: For internal use only As a part of the PWM anti- money laundering monitoring program. From• AMLCompliance Inquiries/dbrdbcorn To. Amanda Kirby/d0 Cc: Paul Morrisidb . AMLCompliance Inquiries/dr) Date: 10/30/2014 03:12 PM Subject: Inquiry regarding Acctft 44129914 NEW YORK STRATEGY GROUP. LLC, Case # 118954 Classification: For internal use only As a part of the PWM anti-money laundering monitoring program, the PRIME system is used to automatically identify accounts that exceed pre-defined profile levels for transaction volume and/or transaction amounts each month. When profile levels are exceeded, the account activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the Wealth Advisor for additional information about the account in order to conclude the research process. Your response is required for the Bank to comply with federal guidelines for concluding the research of these matters in a timely fashion. Your complete response must be received within 7 business days. CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0 115095 CONFIDENTIAL SDNY_GM_00261279 EFTA01456029