EFTA01299264.pdf

Cynthia Rodriguez
From: Carl Timcke on behalf of PWMUS AMLKYC
Sent: Tuesday, February 06, 2018 10:46 AM
To: Cynthia Rodriguez
Cc: PWMUS AMLKYC
Subject: CLEARED: RUSH RDC Alert_ The 2017 Caterpillar Trust [I]
Attachments: RDC alert_ The 2017 Caterpillar Trust.pdf; RDC alert_ 1 The 2017 Caterpillar Trust.pdf
Importance: High
Classification: For Internal use only
Good morning Cynthia,
AML Compliance has reviewed the 2 ROC Alerts generated 2/5/18 for 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. Both alerts contain the same subject material.
Our Party: The 2017 Caterpillar Trust, Incorporate din 2017 in the U.S, with an address in St. Thomas. This is a grantor
retained annuity trust that holds membership interest in IGO Company LLC.
Alert Subject: Caterpillar Inc. (NYSE: CAT) is an American Fortune 100 corporation which designs, develops, engineers,
manufactures, markets and sells machinery, engines, financial products and insurance to customers via a worldwide
dealer network. It is the world's largest construction equipment manufacturer. Caterpillar, founded in 1925, is
headquartered in Deerfield, Illinois.
AML Compliance clears these alerts from an AML perspective as a company false positive. The company name, company
objective, incorporation and/or foundation date and location of Our Party do not match that of the Alert Subject.
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, 2nd floor
Jacksonville, Florida 32256. USA
Tel.
Email
1
SDNY_GM_00065091
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0027916
EFTA_00 I 75591
EFTA01299264

From:
Sent: Monday, February 05, 2018 5:32 PM
To: PWMUS AMLKYC <
Subject: RUSH RDC Alert_ Jeffrey Edward Epstein And The 2017 Caterpillar Trust Ill
Importance: High
Classification: For Internal use only
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 Park Aven 4th Fl 10154-0004 New York, NY, USA
Tel.
Fax
Email
2
SDNY_GM_00065092
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SONY-0027917
EFTA_0017 5592
EFTA01299265