EFTA01299262.pdf

Cynthia Rodriguez
From: Carl Timcke on behalf of PWMUS AMLKYC
Sent: Tuesday, February 06. 2018 10:45 AM
To: Cynthia Rodriguez
Cc: PWMUS AMLKYC
Subject: CLEARED: RUSH RDC Alert_ Jeffrey Edward Epstein [I]
Attachments: RDC alert_ Jeffrey Edward Epstein.pdf; RDC alert_ 1 Jeffrey Edward Epstein.pdf;
CLEARED Jeffrey Epstein _RDC Alert,Jeffrey Epstein PCR Aler.pdf; Chip Packard
Approval - Jeffrey Epstein.pdf
Importance: High
Classification: For Internal use only
Good morning Cynthia,
AML Compliance has reviewed the 2 RDC Alerts generated 2/5/18 for Jeffrey Edward Epstein, UBO of The 2017
Caterpillar Trust, a new account for the Southern Financial relationship; a relationship of the Private Bank since 2013.
Both alerts contain the same subject material.
The RDC Alerts are positive matches for Jeffrey Edward Epstein as it pertains to negative information based on
reputation. However, AML Compliance clears these alerts based on the attached email approval from Chip Packard with
the support of senior management on an AML reputational and legal perspective to Jeffrey Edward Epstein.
AML Compliance previously reviewed the subject matter of this alert and provided clearance on August 13, 2013 for KYC
1651789. Please attach clearance and email to the KYC.
Regards,
Carl Timcke
Carl Timcke
Associate I AML Compliance Officer
DB USA Core Corporation
Regulation, Compliance and Anti-Financial Crime
Anti-Financial Crime
5201 Gate Parkway, 2Id floor
Jacksonville, Florida 32256. USA
Tel.
Email
1
SDNY_GM_00065089
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.ctS;IN(F DB-SDNY-0027914
EFTA_00 I 75589
EFTA01299262

From: Cynthia Rodriguez
Sent: Monday, February 05, 2018 5:32 PM
To: PWMUS AMLKYC <
Subject: RUSH RDC Alert_Jeffrey Edward Epstein And The 2017 Caterpillar Trust II)
Importance: High
Classification: For Internal LEO orgy
Dear AML Compliance,
Attached are RDC alerts for Jeffrey Epstein and The 2017 Caterpillar Trust, part of KYC case 01898372. The alerts
reference the following:
• Caterpillar Inc being charged with fraud after disclosure of "deliberate, multi-year, coordinated accounting
misconduct"
• Jeffrey Epstein pled guilty to a single state charge of soliciting prostitution
The 2017 Caterpillar Trust is a trust that Mr. Epstein created and is the grantor of. The attached RDC is a false positive
and Caterpillar Inc is not part of this trust in any way. Mr. Epstein's alert has previously been cleared. See attached.
Please provide updated clearances. This is part of a rush KYC. The reason for the rush is for an upcoming acquisition
where funds will need to be available by 2/7/2018. Thank you.
Kind regards,
Cynthia Rodriguez
Cynthia Rodriguez
Assistant Vice President
Deutsche Bank Trust Company Americas
Deutsche Bank Wealth Management
345 P rk Av nu 4th Fl 10154-0004 New York, NY. USA
Tel.
Fax
Email
2
SDNY_GM_00065090
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CDFINE DB-SONY-0027915
EFTA_OOI 75590
EFTA01299263