From: Renee Salhi on behalf of PWMUS AMLKYC I Sent: 10/12/2016 2:14:45 PM To: Cynthia Rodriguez Subject CLEARED: RDC ALERT - Richard Kahn II] ; PWMUS AMLKYC Classification: For Internal we only Hello Cynthia, AML Compliance has reviewed the four RDC alerts generated for Richard Kahn, beneficiary of the Butterfly Trust, client. Alert #1: • The subject of the alert resides in PA. • The beneficiary resides in NY and has no address history in PA according to LexisNexis. AML Compliance clears this alert from an AML perspective as the location of the beneficiary does not match that of the alert subject. Alert subject information: https://www.nyse.comipublicdocskyseimarkets/nyse-arca/disciplinary-actions/2012/12-ARCA-3.pdf Alert #2: • The subject of the alert resides in FL. • The beneficiary resides in NY and has no address history in FL according to LexisNexis. AML Compliance clears this alert from an AML perspective as the location of the beneficiary does not match that of the alert subject. Alert subject information: Alert #3: • The subject of the alert was born in 1961. • The beneficiary was born in 1972. AML Compliance clears this alert from an AML perspective as the age of the alert subject does not match that of the beneficiary. Alert #4: • The subject of the alert was born in 1962. • The beneficiary was born in 1972. AML Compliance clears this alert from an AML perspective as the age of the alert subject does not match that of the beneficiary. Kind regards, Renee Salhi Renee Salhi Associate I AML Compliance Officer Deutsche Bank Securities Inc. Pthate Wealth Management -AML Compliance 5201 Gate Partway. 2n0 floor Jac Tel. Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053537 CONFIDENTIAL SDNY_GM_00199721 EFTA01363506