From: Ahsan Manzoor on behalf of PWM 815-Research Sent: 10/7/2013 3:52:20 PM To: CC: PWMUS AMLKYC Subject: RDC ALERT - Attachments: ROC Alert 1.pdf; RDC Alert.pdf 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. (see attached file: Sarah L Rellen_Roc Alert 1.pdf)(see attached file: Alert. pdf) Thanks, Ahsan manzoor CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048587 CONFIDENTIAL SDNY_GM_00 194771 EFTA01360318