Mayur Rathod From: Velmir Vejzovic Sent: Tuesday, August 21, 2018 1:19 AM To: Alka Babu Cc: PWMUS AMLKYC Subject: CLEARED: RDC ALERT_ Richard Kahn [I] Attachments: RDC ALERT_ Richard Kahn.pdf,AML Clearance on Richard Kahn RDC alert.pdf Classification: For Internal use only Hi Alka, BLAFC-WM has reviewed the RDC Alerts generated 8/17/18 for Richard D Kahn, associated with Southern Financial Relationship. (KYC BLAFC-WM previously reviewed the subject matter of this alert and provided clearance on November 11, 2013. 1 have attached the clearance for your reference. Please attach all attachments to the KYC. All the best, Velmir Vejzovic Velmir Vejzovic Associate 1 AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2n0 floor Jacksonville, Florida 32256. USA Tel. Em From: Mamta-A Choudhary Sent: Friday, August 17, 2018 4:27 PM To: Alka Babu Cc: PWM BIS-Research Subject: RDC ALERT_ Ric ar. 'a Hello PWMUS AMLKYC 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. SDNY_GM_00065156 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027981 EFTA_00 I 75656 EFTA01255928 Receive confirmation from compliance that alert can be removed from the queue. Include copies of all responses along with your KYC. Mamta Choudhary Analyst I Research and Control 0601 Global Services Private Limited COO Wealth Management Operations A-1 & A-2, Evolve - Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India Mobil Email 2 SDNY_GM_00065157 CONFIDENTIAL - PURSUANT TO FED. R.ctailf IDENTIAL DB-SDNY-0027982 EFTA_00 175657 EFTA01255929