EFTA01299244.pdf

Amanda Kirby
From: Monifa Crawford on behalf of PVVMUS AMLKYC
Sent: Friday, February 06, 2015 4:09 PM
To: Amanda Kirby
Cc: PWMUS A
Subject: rdc alert
Attachments: RDC Clearance.pdf; rdc alert.pdf
Classification: For internal use only
Hi Amanda:
AML Compliance has reviewed the attached alerts for Ms. . The alerts are a positive match to Ms.
The first alert refers to a civil racketeering lawsuit, to which Ms. was cleared of all charges. The second alert refers
a 2008 suit in which Ms. was named as a defendant which alleged that Mr. Epstein sexually abused underage
girls. This suit was dropped, and 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 u ate to KYC AML Compliance also
confirmed that the relationship is still marked as Ff k, and Ms. is one of several beneficiaries of a trust where
Mr. Epstein is the Grantor of (Butterfly Trust). Ms. is not opening an account and has no authority on the trust
account. As such, the attached clearance is still applicable for both alerts.
(See attachedf ile: rdc alertpdp(See attachedf ile: RIX' Clearancepdf)
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.
• 2256. USA
Visa us: http:itenvw.db.com
-- FFoorrwwaarrddeedd by Monifa Crawford/db./db.:am on 02/051015 03:23 PM —
From Amanda Kirby
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To FWMUS AMLKYCklb
Date 02/06201512:59 PM
Subject RE: FW: rdc alert Ill
Classification: For Internal use only
Hi,
Yes. This is part of the same suit which was settled in 2008. She was not found guilty of any crime and does not have
anything on her record. Both alerts pertain to the same case. It was resolved and she was cleared
From: Monifa Crawford On Behalf Of PWMUS AMLKYC
Sent: Friday, February 06, 2015 12:55 PM
To: Amanda Kirby
Cc: PWMUS AMLKYC
Subject: RE: FW: rdc alert [I)
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 sex offense suit been resolved?
MC
Amanda Kirby---02/06/2015 12:48:35 PM---Classification: For intemal use only Yes. This is still correct. She is only the
beneficiary of the account and not opening he
Amanda Kirby
From:
PVVMUS AMLKYC/a,
To:
02706/201512:48 PM
Date
RE: FW: rdc alert II)
Subject:
Classification: For Noma) use only
Yes. This is still correct. She is only the beneficiary of the account and not opening her own account.
From: Monifa Crawford On Behalf Of PWMUS AMLKYC
Sent: Friday, February 06, 2015 12:45 PM
To: Amanda Kirby
Cc: PWMUS AMLKYC
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Subject: Re: FW: rdc alert (I]
Classification: For internal use only
Hi Amanda:
The last time the alert was reviewe was named as one of the beneficiaries of a trust where Mr. Epstein was
the Grantor of (Butterfly Trust). Ms. was not opening an account and has no authority on the trust 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.
• 2256. USA
Visit us: htbflwnv.db.com
Rtillatrtn:Ityglaffienst.
Amanda Kirby---02/06/2015 09:56:42 AM---Classification: For intemal use only These alerts are from 2008. I requested
research after October 2013 as the below had alre
Amanda Kirby
From
PMIUS AMLKYCa.
To:
02/06/2015 09:56 AM
Date:
FW: rdc alert pi
Subject:
Classification: For Internal use only
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These alerts are from 2008. 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.
From: Urvashi Lavania On Behalf Of PWM BIS-Research
Sent: Friday, February 06, 2015 9:52 AM
To: Amanda Kirby
Cc: PWMUS AMLKYC
Subject: 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 atutched rdc alertpdfi(See attachedf ile: rdc alert I pdp(See attachedf ile:
rdc alert 114)
Regards
Urvashi[attachment rdc alert.pdf' deleted by Monif /dbcom] [attachment rdc
alert_l .pdt" deleted by Monifa Crawf r / / m] [attachment alert_2.pdr deleted by Monifa
Crawford/db/dbcom] [attachment RDC Clearance.pdr deleted by Monifa Crawford/db/dbcom]
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