EFTA Document EFTA01371308

From: Carl Timcke on behalf of PWMUS AMLKYC Sent: 7/5/2017 11:27:23 AM To: Kshitij Golani Subject: FW: RDC Alert Richard Kahn II) Attachments: Richard Kahn (RDC Alert).pdf; Richard Kahn (search).pdf; Richard Kahn Clearance.pdf Classification: For Internal use only Hi K.G., Want to see if you can do these 2 alerts for Richard Kahn? I took a quick glance at the prior clearance from Cynthia. Not sure if it applies to the alerts. Let me know if you have any questions. 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. Emai PASTritrt..Ity Paybybsi, From: Cynthia Rodriguez Sent: Friday, June 30, 2017 10:03 AM To: PWMUS AMLKYC Subject: RDC Alert Richard Kahn Dear AML Compliance, Attached is an RDC alert for Richard Kahn, appearing on the NY stock exchange disciplinary actions. I believe this alert has previously been cleared. Please see attached clearance and provide updated clearance. Thank you. Kind regards, Cynthia Rodriguez CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064622 CONFIDENTIAL SDNY_GM_00210806 EFTA01371308