EPSTEIN
page 8 / 1106 . OCR, unverified
From:
'Janice Franklin/db/dbcom
I To:
'Amanda airby/db/dbcom6OBAMERICAS,
I Date:
'09/06/2013 04:11 PM
I
Subject:
'Tax Attestation: KYC
[I]
Classification: For internal use only
Hi Amanda:
EFTA01404967
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Because Mr. Epstein is a US person with a non-US PIC, we are required to
obtain a tax attestation letter from him. Please have the RM send Mr. Epstein
the attached letter and return the executed copy to us. If you have any
questions, please give me a call.
(See attached file: Tax Attestation Letter.docx)
Regards,
Janice P. Franklin
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Janice Franklin, CAMS, CFSA, CFIRS
Vice President I AML Compliance Officer
Deutsche Bank Trust Company Americas
Compliance
Wall Street 10005-2836 New York, NY, USA
Tel.
Fax
Email
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EFTA01404968
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[Date]
[Client Name]
[Client Address 1]
[Client Address 2]
Re:
Dear [Client Name]
Dear Sir:
U.S. tax laws are quite complex and constantly evolving, particularly in the
area of international investments held by U.S. taxpayers. It is your
responsibility to fulfill any tax obligations that may arise in connection
with your business relationship with Deutsche Bank.*
As part of your relationship with Deutsche Bank, you agree to furnish us, at
our request, and as may be periodically required by applicable laws and
regulations, documents and records maintained by you that may be required by
the United States Internal Revenue Service in connection to your accounts at
Deutsche Bank and its affiliates. In addition, you certify that you and
your affiliated entities are in compliance with all applicable tax laws,
rules, and regulations and that you will continue to file all tax returns
and reports with all appropriate government authorities. As a reminder,
Deutsche Bank Securities Incorporated has not performed an analysis of your
particular tax situation and encourages you to seek outside tax advice about
the tax consequences of international investments held by U.S. tax payers
from a tax professional with expertise in this area.
Sincerely,
For and on behalf of Deutsche Bank Trust Company Americas
By:
Title:
Tel:
Fax:
Email:
Accepted and Agreed:
For and on behalf of [Client Name]
By:
Title:
Date:
Accepted and Agreed:
[Ultimate Beneficial Owner]
By:
Title:
Tel:
Fax:
Email:
EFTA01404969
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By:
Date:
[Ultimate Beneficial Owner]
By:
Date:
For internal use only
*"Deutsche Bank" refers to Deutsche Bank AG and all of its affiliated
companies including Deutsche Bank Securities, Inc, Deutsche Bank Trust
Companies Americas, Deutsche Bank Trust Company N.A., and Deutsche Bank
National Trust Company, as the context requires. Deutsche Bank AG, including
its subsidiaries and affiliates, does not provide legal, tax, or accounting
advice. We would like to remind you that you should seek advice from
independent tax advisor regarding any matters based on your particular
circumstances.
For internal use only
For internal use only
EFTA01404970
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EFTA01404971
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----------------------------------------
Subject: Revised CLEARED Richard
From: PWMUS AMLKYC
Date: Fri, 01 Nov 2013 10:53:59
To: Amanda Kirby
Cc: Jacqueline Lightbod
PWMUS AMLKYC
Janice Franklin <
D Kahn
Classification: For internal use only
Hi Amanda -
alert [I)
This is a revision to the below clearance for Mr. Kahn - after further review
it appears the below alert dated 9/3/2013 is a false positive. AML Compliance
has reviewed an email dated 10/31/2013 that the business received from Mr.
Kahn attesting that he has not been bared from NYSA Arca and that he is not
the same individual as the alerted party. According to that email, our Mr.
Kahn has been working at his company, HBRK Associates Inc for the past 3