Message From: Kshitij Golani (/o=EXCHANGE/ou=Exchange Administrative Group (FYDIBOHF235PDLT)/cn=Recipients/cn=golakshO2di on behalf of Kshitij Golani Sent: 7/5/2017 6:33:15 PM To: Cynthia Rodriguez Vo=EXCHANGE/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=rodrcyngel CC: PWMUS AMLKYC (/o=EXCHANGE/ou=Exchange Administrative Group (FYDIBOHF235PDLT)/cn=Recipients/cn=amIkpwm-gxs284) Subject: CLEARED: RDC Alert Richard Kahn II) Attachments: Richard Kahn (ROC Alert).pdf; Richard Kahn (search).pdf; Richard Kahn Clearance.pdf Classification: For klinell81 use only Hi Cynthia, AML Compliance has reviewed the attached RDC alerts and agrees with your assessment that these have been previously cleared. However, just to add to the reasons provided for the clearance of the alerts, based on external sources, the middle initial of our client's trustee is "D". The subject in alert 1 has a middle name of "Paul" and the subject in alert 2 has a middle name of "Jeffrey". Based on the reasons listed in the clearance email combined with the above findings, AML compliance clears these alerts as false positive. Thanks Kshitij Golani (KG.), CAMS Vice President I AML Compliance Officer Deutsche Bank 60 Wall Street. 10005-2836 New York. NY. USA Tel. Em From: Cynthia Rodriguez Sent: Friday, June 30, 2017 10:03 AM To: PWMUS AMLKYC Subject: RDC Alert Richard Kahn Dear AML Compliance, Attached is an RDC alert for Richard Kahn, appearing on the NY stock exchange disciplinary actions. I believe this alert has previously been cleared. Please see attached clearance and provide updated clearance. Thank you. Kind regards, Cynthia Rodriguez SDNY_GM_00060164 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0022988 EFTA_00 I 70707 EFTA01255359 Cynthia Rodriguez Assistant Vice President Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management 345 Park Avenue. 24th Fl 10154.0004 New York. NY. USA Tel Fax Ema SDNY_GM_00060165 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0022989 EFTA_00I 70708 EFTA01255360