Subject: Re: Fw: From: PWMUS AMLKYC Date: wed, 09 Oct 2013 15:48:57 -0400 To: Amanda Kirby Cc: PWMUS AMLKYC ' Jacqueline Lightbody rdc alert (I] Classification: For internal use only Hi Amanda, AML m lian e reviewed the attached PCR alerts dated 10/9 2013 rela in The alert pertains to the wife of a former According to the business, our client is in her early 30's and lives in NYC; whereas, the alert pertains to a that is in her 60's and lives in Wisconsin. Accordingly, AML Compliance CLEARS this alert as a false positive. Kind regards, Andrew Kisz (Embedded image moved to file: pic31960.gif) Andrew Kisz Associate I AML Compliance Officer DB Services New Jersey, Inc. Asset a Wealth Management 5022 Gate Parkwa , Suite 400, 32256 Jacksonville, USA Tel. Email (Embedded image moved to file: pic22729.gif) From: Amanda Kirby/db/dbCOm To: PWMUS AMLKYC/db/dbCOm@DBAmeriCas, CC: Andrew Kisz/db/dbcom@DBAMERICAS, Jacqueline Lightbody/db/dbcom@DBAMERICAS, Paul Morris /db/dbCom@DBAMERICAS Date: 10/08/2013 12:42 PM Subject: Fw: rdc alert [I] Classification: For internal use only Hi, This PCR alert does not pertain to our client. This is in her 60's and lives in Wisconsin. Our is in her early 30's and lives in NYC. Please clear alert Best, Amanda Kirby (Embedded image moved to file: pic13526.gif) EFTA01404935

Amanda Kirby Associate Deutsche Bank Trust Company Americas 345 Park Avenue, 27th Fl New York, NY, USA, 10154-0004 Tel. Fax + Email (Embedded image moved to file: pic00702.gif) Forwarded by Amanda Kirby/db/dbcom on 10/08/2013 12:39 PM From: PWM BIS-Research/db/dbcom@DBAPAC To: Cc: Amanda Kirby/db/dbcom@DBAMERICAS, PWMUS AMLKYC/db/dbcom@DBAmericas Date: 10/08/2013 10:00 AM Subject: rdc alert (I) 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 with your KYC. See attached file: per alert_l.pdf) Regards Urvashi per alert.pdf) (See attached file: EFTA01404936