ROC ALERT (10/07/2013)

From: To: Cc: PWMUS Date: 10/07/2013 03' Subject: ROC ALERT - [II 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