ACM TO Cc Date Subject: 09/04/2013 04:28 PM CLEARED Richard D Kahn rdc alert [I] Classification: For internal use only Hi Amanda - As per our conversation, AML Compliance clears the below alert - this is a POSITIVE hi

Message From: on behalf of Sent: To: CC: Subject: Attachments: Richard D Kahn rdc alert_l.pdf; Richard D Kahn rdc alert.pdf Revised_CLEARED_Richard D Kahn rdc alert [II Classification: For internal use only Hi Amanda - This is a revision to the below clearanc

I] PWMUS AMLKYC to Amanda Kirby Sent by: Michael Vila Cc: Jacqueline Lightbody, PWMUS AMLKYC, Janice Franklin 11/011201310:54 AM 2 attachments Richard D Kahn rdc alert_l pdf Richard D Kahn rdc alertpdf Classification: For internal use only Hi Amanda - This is a revision to the below clearance for Mr. Kahn

LKYC to Amanda Kirby Sent by: Michael Vila Cc: Jacqueline Lightbody. PWMUS AMLKYC, Janice Franklin 2 attachments Richard D Kahn rdc alert_1.pdf Richard D Kahn rdc alert.pdf Classification: For internal use only Hi Amanda - 11/01/2013 10:54 AM This is a revision to the below clearance for Mr. Kahn - after fu

I] PWM US AMLKYC t Amanda Kirby Michael Vila Jacqueline Lightbody, PVVMUS AMLKYC, Janice Franklin 2 attachments Richard D Kahn rdc alert_1.pdf Richard D Kahn rdc alert.pdf Classification: For internal use only Hi Amanda - 11/011201310:54 AM This is a revision to the below clearance for Mr. Kahn - after fur

ccount for a trust, for which he is a trustee. It does not seem that he would pose any risk (reputational or otherwise) to the bank. Please approve Richard D Kahn rdc alert.pdf Richard D Kahn rdc alert_1.pdf PWM BIS-Research Classification: For internal use only Hello, Atta... 09/03/2013 04:32:05 PM From: To:

4 AM Front: Amanda Kirby. Cc: Utvas ' , PWM BIS-Resew Paul , Andrea Kling To: PWMUS AMLKY Morris Date: 09/04/2013 11:09 AM Subject: Re: Richard D Kahn rdc alert III CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048611 CONFIDENTIAL SDNY_GM_00194795 EFTA01360337

h he is a trustee. It does not seem that he would pose any risk (reputational or otherwise) to the bank. Please approve Richard D Kahn rdc alertpdf Richard D Kahn rdc alert_1.pdf PWM BIS-Research Classification: For internal use only Hello, AU... 09/03/2013 04:32:05 PM From: PWM BIS-Res To: Amanda Kirby Cc:

M BIS-Research/db/dbcomODBAPAC To: Amanda Kirby/db/dbcom@OBAMERICAS, Cc: PWMUS AMLICYC/db/dbcom@OBAmericas Date: 09/03/2013 04:32 PM Subject: Richard D Kahn rdc alert [I] classification: For internal use only Hello, Attached is an alert for the party mentioned above. Please note that clearance from comp

f):: Michael Vila Jacqueline Lightbody. PWMUS AMLKYC, Janice Franklin 2 attachments a a : /5.7.. ... ../..., Richard D Kahn rdc alert_t.pdf Richard D Kahn rdc alert.pdf Classification: For internal use only Hi Amanda - 11/01/201310:54 AM This is a revision to the below clearance for Mr. Kahn - after fur

db/dbcom PWMUS AMLKYCielb , Andrea Klingenbergdbi Urvashi Lavaniadb PWM BIS-ResearelVdb Paul Metriskibdbcom@DEIAMERICAS 09041013 11:09 AM Re: Richard D Kahn rdc alert Ill Classification: For internal use only Hi, The below RDC alerts do pertain to our client. Richard D Kahn is the person in question. Howe

g/dbldbcom@DBAMERICAS, Urvashi Lavania:dbldbcom@DBAPAC, PWM BIS-Researchiclb/dbcom@DBAPAC. Paul Metrisidbrdbcom@DBAMERICAS 09)041013 11:09 AM Re: Richard D Kahn rdc alert Ill Classification: For internal use only Hi, The below RDC alerts do pertain to our client. Richard D Kahn is the person in question. Howe

.. Amanda Kirby/db/dbcom PWMUS AMLKYC/db Andrea Klingenberg/db/ Urvashi Lavania PWM BIS-Research/db/ Paul Morris/db/ 09/04/2013 11:09 AM Re: Richard D Kahn rdc alert (II Classification: For internal use only 09/04/2013 11:09:44 AM EFTA01400727 Hi, The below RDC alerts do pertain to our client. Richard

g/db/dbcom@DBAMERICAS, Urvashi Lavania/db/dbcom@DBAPAC, PWM BIS-Research/db/dbcom@DBAPAC, Paul MorriS/db/dbCOm@DBAMERICAS 09/04/2013 11:09 AM Re: Richard D Kahn rdc alert (I] 09/04/2013 11:09:44 AM EFTA01403738 Classification: For internal use only Hi, The below RDC alerts do pertain to our client. Richard

da Kirby/ To: PWMUS AMLKYC/ Andrea Klingenberg/ Cc: Urvashi Lavania/ PWM BIS-Research/ Paul Morris; Date: 09/04/2013 11:09 AM Subject: Re: Richard D Kahn rdc alert [I) Classification: For internal use only EFTA01404972 Hi, The below RDC in question. account for a pose any risk alerts do pertain t

Subject: Richard D Kahn rdc alert [I] From: PWM BIS-Research < Date: Tue, 03 Sep 2013 16:31:55 -0400 To: Amanda Kirby < •> Cc: PWMUS AMLKYC Classification: For internal use