Classification: For internal use only¶
AML Compliance has reviewed the RDC and PCR alerts dated 5/28/2013 pertaining to our prospective client, Jeffrey Epstein. The RDC Alerts are positive matches for our prospect as it pertains to negative information based on reputation. However, AML Compliance clears these alerts based on the attached email approval from Chip Packard with the support of senior management on an AML reputational and legal perspective to onboard the prospective client, Jeffrey Epstein.¶
The two PCR alerts involve a Jeffrey S Epstein that lives in Massachusetts. Our prospective client has a different middle name, Edward, and resides in New York and Florida. Accordingly, AML Compliance CLEARS these PCR alerts as false positives.¶
Best regards,¶
Andrew J. Kisz¶
Andrew J. Kisz¶
Associate | AML Compliance Officer¶
DB Services New Jersey, Inc.¶
Asset & Wealth Management¶
Passion to Perform¶
Date: 08/12/2013 05:42 PM¶
Subject: Fw: Jeffrey Epstein __RDC Alert,Jeffrey Epstein__PCR Alert [I]¶
Classification: For internal use only¶
$$\mathrm{H i},$$¶
I realized I never heard back for the below clearance approval. Please let me know as soon as possible as we are now moving ahead with this client and would like to open accounts ASAP.¶
Thank you,¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0050206 DB-SDNY-0050206 EFTA00128806¶
----- Forwarded by ---- on 08/12/2013 05:38 PM ----¶
From: /db/dbcom To: PWMUS Date: 06/12/2013 10:54 AM Subject: Fw: Jeffrey Epstein __RDC Alert,Jeffrey Epstein__PCR Alert [I]¶
Classification: For internal use only¶
Hi,¶
Please see RDC Alerts below:¶
RDC Alert #1:¶
-
This is our client. The accounts which we will be opening will not be in Jeffrey Epstein’s name. They will be in the name of 2 companies he controls and should not pose a reputational risk
-
Also attached is an email from Chip Packard saying that he does not believe that there is any reputational risk in taking this client on.
PCR Alert #1 and #2:¶
- Not our client. Our client is Jeffrey E Epstein and these alerts pertain to Jeffrey S Epstein.
Please approve clearance¶
Kind regards,¶
Associate¶
Deutsche Asset & Wealth Management¶
Securities offered through Deutsche Bank Securities Inc.¶
Forwarded by Kirby on 06/12/2013 10:52 AM -----¶
From: PWM¶
PWMUS¶
| Date: | 05/29/2013 11:43 AM |¶
| :--- | :--- |¶
Subject: Jeffrey Epstein __RDC Alert,Jeffrey Epstein__PCR Alert [I]¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0050207 DB-SDNY-0050206 EFTA00128807¶
Classification: For internal use only¶
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.¶
Jeffrey Epstein __RDC Alert¶
Jeffrey Epstein __RDC Alert.pdf¶
Epstein __RDC Alert.1.pdf¶
Jeffrey¶
Chip approval.pdf¶
Jeffrey Epstein_PCR Alert¶
Jeffrey Epstein__PCR Alert.pdf¶
__PCR Alert 2.pdf¶
Jeffrey Epstein¶
Jeffrey Epstein_PCR Alert.1.pdf¶
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0050208 DB-SDNY-0050206 EFTA00128808¶