CLEARED: rdc alert [I]

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: rdc alert pdf) (See attached file: rdc alert_1.pdf) (See attached file: rdc alert 2.pdf)

Regards

Urvashi

Classification: For internal use only
These alerts are from I requested research after October 2013 as the below had already been cleared in the last KYC. Please clear again. Attached is the prior clearance.

Classification: For internal use only

Hi Amanda:

The last time the alert was reviewed, was named as where Mr. Epstein was the Grantor of was not opening an account and has no authority on the account.

Please advise if this is still her current status on the accounts with the Private Bank.

Kind Regards,
MC

Monifa Crawford, JD
Associate I AML Compliance Officer

Deutsche Bank Securities Inc.
Private Wealth Management - AML Compliance
5022 Gate Parkway, Suite 400.
Jacksonville Florid 32256. USA
Tel.

Mobile
Email

Visit us: http://www.db.com

Classification: For internal use only

Thanks.

Do you have any information on the second alert from the client? It does not appear that this was prior addressed in previous clearances. Has the [ ] been resolved?

MC

Classification: For internal use only
Hi,

The image contains text that is mostly redacted. The visible text states: "Yes. This is part of the alerts pertain to the same case. It was resolved and Both". The preceding text indicates this is an email from Monifa Crawford on behalf of PWMUS AMLKYC to Amanda Kirby, with the subject "RE: FW: rdc alert". The classification is "For internal use only".

Classification: For internal use only

Hi Amanda: AML Compliance has reviewed the attached alerts for The alerts are a positive match to The firs a er re ers o a civil lawsuit, to which was The second alert refers a in which alleged that Mr. Epstein sexually abused underage girls Mr. Epstein plead guilt to soliciting prostitution and served a year in jail.

The attached clearance and senior management approval issued by AML Compliance on 12/4/2013 is applicable as clearance for the alerts. The new alerts came about as there is an update to KYC AML Compliance also confirmed that the relationship is still marked as High Risk, and is one of several where Mr. Epstein is the Grantor of not opening an account and has no authority account. As such, the attached clearance is still applicable for both alerts.

Kind Regards,
MC

Monifa Crawford, JD
Associate AML Compliance Officer

Deutsche Bank Securities Inc.
Private Wealth Management - AML Compliance
5022 Gate Parkway, Suite 400.
Jacksonville, Florida 32256. USA
Tel.
Mobil
Email

Visit us: http://www.db.com