EFTA Document EFTA01363590

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/5/2018 Alert Date: 2/512018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: C,ourilly VIRGIN ISLANDS, U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity # 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 dismissed., 04/04/2017, Peoria Journal Star, The (IL) • TAX - Tax Related Offenses / PRB - Probe, 10/30/2015 Wsj.com listed an article on 30 October 2015. re: Caterpillar Inc. has received more subpoenas relating to a U.S. grand jury investigation of its tax practices.. 10/30/2015. Special Media • BRB - Bribery, Graft. Kickbacks, Political Corruption / ALL - Allege, 06/30/2010 The named entity was identified publicly in a 30 June 2010 document leaked to Global Witness -- an international NGO focused on examining the relationship of natural resources and international trade systems with corruption — that detailed Western banking institutions holding Libyan oil money as well as investments by the Libyan Investment Authority (LIA) in foreign businesses. The NY Times on 26 May 2011 noted that it had independently verified the leaked document as authentic and described it as a "summary of LIA investments." Global Witness cited the information as justification for a new laws requiring banks and investment funds to disclose all managed state funds to make it more difficult for sanctioned persons or companies to move the proceeds of corruption through the global financial system., 06/30/2010. Special Media • ENV - Environmental Crimes (Poaching. Illegal Logging. Animal Cruelty / ASC - Associated with. Seen with, 12/08/2017 United Industries LLC, a subsidiary of Progress Rail Services, Inc., which itself is a subsidiary of Caterpillar. Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to conceal that it was performing unnecessary and improper repairs for several railcar operators and was imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in restitution to three victim companies - TTX Company, Pacer International and Greenbrier Company. As a result of illegal conduct that spanned the years 2008 through 2014 - including the unnecessary and improper repairs on railcar adapters, brake beams, grating plafforms, brake shoes, friction castings, hand brakes, roof liners and side bearings - United Industries earned at least $5 million., 12/08/2017, DOJ US Attorneys Offices Press Releases 2017 • ENV - Environmental Crimes (Poaching. Illegal Logging. Animal Cruelty / SET - Settlement or Suit. 07/28/2011 The U.S. Department of Justice says Caterpillar Inc. has agreed to pay $2.55 million to settle allegations that it violated the U.S. Clean Air Act., 07/28/2011, Associated Press Newswires Relationship: • W Frank Blount, Associate • Solar Turbines Incorporated, Associate • Associate of National Iranian Oil Engineering and Construction Company Alert Notes Notes: Caterpillar Inc., United Industries LLC, a subsidiary of Progress Rail Services, Inc., which itself is a subsidiary of Caterpillar, Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to conceal that it was performing unnecessary and improper repairs for several railcar operators and was imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in restitution to three victim companies. Source Information RDC URL: httpsllgrid.rdc.coriVwss/entity.html?entityld=d6b78c2d3114a8ce5d3f3d53eb346cc4 Source Name: RiskConnect, 02/04/2018 Entity URL: • http://www treasury.gov/resource-center/sanctions/OFAC-Enforcement/Documents/04042003.pdf Calsetent uith the terms and co.-erten, d your RDC Subsaber Agreement the informaban contained n tat document is for alert purposes only and a not to be used lot purposes of deteernrang an eclrecluafs avidly la any erode or any other FCRA permissible purposes User further agrees to hold such mistral and information In sticks! 0,11100fICO. not to matte use thereof other than la authaved purposes to 'Ste a Only to employees rogueing such rrecerrohnn, and not to release a disclosed to any other party The Alert nIcemabon contained in the document nay or nay not pertain to the oner.dual a 'May referenced et your ilquily. Page 4 at 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053674 CONFIDENTIAL SDNY_GM_00199858 EFTA01363590