Subject: Re: Inquiry re ardin Acct# 44129914 NEW YORK STRATEGY GROUP, LLC, Case # 118954 [I] From: Amanda Kirby < Date: Mon, 03 Nov 2014 11:31:59 -0500 To: AMLCompliance Inquiries Cc: AMLCompliance Inquiries Paul Morris < [email protected] Classification: For internal use only Please see responses below Best, Amanda Kirby (Embedded image moved to file: pic18534.gif) Amanda Kirby Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Emai (Embedded image moved to file: pic11550.gif) Securities offered through Deutsche Bank Securities Inc. From: AMLCompliance Inquiries/db/dbcom To: Cc: Amanda Kirby/db/dbcom@DBAMERICAS, Paul Morris/db/dbcom@DBAMERICAS, AMLCompliance Inquiries/db/dbcom@DBAmericas Date: 10/30/2014 03:12 PM Subject: Inquiry regarding Acct# 44129914 NEW YORK STRATEGY GROUP, LLC, Case # 118954 [I Classification: For internal use only As a part of the PWM anti-money laundering monitoring program, the PRIME system is used to automatically identify accounts that exceed pre-defined profile levels for transaction volume and/or transaction amounts each month. When profile levels are exceeded, the account activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the Wealth Advisor for additional information about the account in order to conclude the research process. Your response is required for the Bank to comply with federal guidelines for concluding the research of these matters in a timely fashion. Your complete response must be received within 7 business days. EFTA01471551