From: Prachi Pawa Sent: 10/12/2016 10:50:51 AM To: Cynthia Rodriguez CC: PWMUS AMLKYC I; PWM BIS-Research Subject: RDC ALERT - Richard Kahn and PCR ALERT - Darren Indyke Attachments: Darren Indyke PCR ALERT_Lpdf; Darren Indyke PCR ALERT.pdf; Richard Kahn RDC ALERT.pdf 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 with your KYC Kind regards, Prachi Pawa Prachi Pawa Operations Analyst DBOI Global Services Private Limited COO Wealth Management Operations A-1 Mahindra Technology Park, Inside Mahindra World City - SEZ, 302029 Jaipur, India Tel. Mobile Email CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054819 CONFIDENTIAL SDNY_GM_00201003 EFTA01364293