EFTA01299231.pdf

ACM
TO
Cc
Date 09/04/2013 04:28 PM
Subject: CLEARED Richard D Kahn rdc alert [I]
Classification: For internal use only
Hi Amanda -
As per our conversation, AML Compliance clears the below alert - this is a POSITIVE hit - this alert was
generated regarding the trustee of the perspective client, a trust for Jeffrey Espstien, who is a current DB
Client. The trustee is an account, who is named in an NYSE ARCA, Inc regulatory proceeding dated April
20, 2012. It appears that the 21 defendants are/were in violation of NYSE ARCA Equities Rule 10.2(d)
for filing to provide testimony as request by FINRA. AML Compliance clears this alert, as 1) this is an
account who will be the trustee of the a perspective client, 2) the settlor (Jeffery Epstien) is not related to
the FINRA proceeding, and 3) there is no other negative media pertaining to Mr. Kahn. As such this is
CLEARED from an AML Pesepctive.
Best, Michael
Front
To:
Cc:
Date: 09/04/2013 11:09 AM
Subject: Re: Richard D Kahn rdc alert
(I)
Classification: For internal use only
Hi,
The below RDC alerts do pertain to our client. Richard D Kahn is the person in question. However, he
will not be a client of the bank. We are opening an account for a trust, for which he is a trustee. It does
not seem that he would pose any risk (reputational or otherwise) to the bank. Please approve
[attachment "Richard D Kahn rdc alert.pdr deleted by Amanda Kirby/db/dbcom] [attachment "Richard D
Kahn rdc alert_1.pdr deleted by Amanda Kirby/db/dbcom]
From:
To:
Cc:
Date. 09/03/2013 04:32 PM
Subject. Richard D Kahn rdc alert
SDNY_GM_00065009
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.WIN(F DB-SONY-0027834
EFTA_00 I 75509
EFTA01299231

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.
[attachment "Richard D Kahn rdc alert.pdf' deleted by Amanda Kirby/db/dbcom] [attachment "Richard D
Kahn rdc alert:I4)dr deleted by Amanda Kirby/db/dbcom]
Regards
Urvashi
SDNY_GM_00065010
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0027835
EFTA_001755I0
EFTA01299232