EFTA01282143
Dataset 10 · 42 pages · 2.0 MB · 11,630 words
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KYC Print Page 1 of 42
DB PWM GLOBAL KYC/NCA: PART A
KYC Case N : 01804531 Status : 6. Approved
One sheet must be established Per relationshi - list all accounts included In the relatlonshi
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:0000O483290 e.00king Center. Nov York
Relationship Manager: Stewart DIMS
• New PWM Relationship 12 Existing PWM Relationship
Relationship to PWM: If mosbng, please indicate sate when the relationship exists, provide reason for new profile and attach old profile: •**This KYC
is a periodic review for high risk remediation•• •
Original KYC1121946
2 Client Referral O RM Prospect O Intermediary/Flm O Other Source (GB, etc.)
mow Was the Client(s)
Introduced? How long has the
RM personally known the Please provide details (eg. name of referral source, how many years RM personally has known dimity etc.: Jeffrey Epstein
client? readied out to Stew Wield on 3/7/17 to have a net, acct opened wider ZOITO Management LLC and add)two new signors to this
new acct ally.
toes Deutsche Bank pay a O Yes No
retrocession or simlar 12
compensator, to a third party
tat the introducbon of this al Yes, desotelt
teLatlorship?
Ls,: al existing and new accounts involved in this relationship
Legal Entity Acoount Name / Number Opening Date (intended/actual)
Account(s)
PA The Haze Trust - Deposit 2/27/2017
2 FA Butterfly Trust - Deposit 1/24/2014
3 2 The 2007 Jeffrey E. Epstein Insurance Trust #3 - Deposit 10/16/2013
Who Is the canary contact
person for the RM? (Note: This ...,_...en indyke Preferred method of contact
person needs to have signatory a " (indicate phone no., fax no.,
rights and/or information right e-mail address, etc.):
for the accounts.):
SDNY_GM_00037434
CONFIDENTIAL - PURSUANT TO FED. R. IA
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
DB-SONY-000025S
EFTA_00148046
EFTA01282143
KYC Print Page 2 of 42
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: The Haze Tnist . Deposit Acct. Number OtavarlaL*1
Account Manager: stewart °Weld
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/erpense account)? this Is a
deposit account to hold cash for the trust
Indicate from where the assets we created to arrive?
0 DB Group: Same Booking Center (Inckcate account number):
O DB Group: Other Booking Center (indicate DB location and account details):
O Other Institution — (Indicate name & location):
O Ftysical Deposits (specify cash, securities, cheques.....:
What Is the expected sae and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: collecting interest on
current balance...no inflow/outflows
What Is the expected volume of assets and currency for the accorsit approx. 90 days after 121,063,409.16 I Currency I USD
opening?
What is the expected volume of assets and currency for the accota approx. one year after I 21,077711.01 I Currency
opening? I Us°
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? Ll Yes RI NO
Please 1st all parties related to the account.
For each party:
• Check if a source of WeSith descnption is required for the party.
• Check the appropriate box to describe the relationship of the party to this accorsit (> I can be selected).
• If none of the chedt bore apply, desaibe the party's relation to the account in the 'Other column.
• Always describe the relati nshp between the parties in the la t column.
• Please aril down to the ultimate/underhy ng Bendier I Owner( ).
.agal 7esalptio AccounPIC Settior of Ultimate Signatory Umiteefinanoal SigndiooM _egal .-Irarcor/Settla Founding
Entity of Source Holder 3wnerTrust/ Beneficiaka fie POA IMermediaryStrareholderitepresentative Donor
of Wealth Founder of Owner POA (FIM) (>=2S%) Other (please
equlred Foundation Non-PIC descrite other
flies entity roles and/or
elated (indicate ndicate
o this ownersho relationship
ccount %) oetween parties)j
Jeffrey 07H:beneficiary'
I O O . O O 4'4 El O O O O O O of The Haze
In T
The
2 Q Q aze 0 0 0 0 0 O 0 0 0 0
'1St
Darrel n O •
3 O O ndyke " • El O O D O • Trustee:;
SDNY_GM_00037435
CONFIDENTIAL - PURSUANT TO FED. R. Ce
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
DB-SONY-0000259
EFTA_00148047
EFTA01282144
KYC Print Page 3 of 42
2. Account Ownership Summary
Account Name: Butterfly Trust - Deposit Acct. Number Of avaieibki
Account Manager: stewart oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment payment/expense account)? This is a
deposit account to hold funds for the rust
Indicate from where the assets are expected to amve?
ct DB Group: Same Booking Center (inelcate account number):
O DB Group: Other Booking Center (indicate DB location and account details):
• Other Institution — (Inekate name & location):
O Physcal Deposits (specify cash, secant es, cheques....):
What IS the expected size and frequency of regular inflows and outflows for the account (ndicate estimated number and volume per month)?: no nflowsioutflows
What IS the expected volume of assets and currency for the account approx. 90 days after 12.99 I Currency usd
opening? I
What is the expected volume of assets and currency for the account approx. one year after 12.99 I Currency
opening? I W4
Does/will the cleM have Assets Under Management (AuM) within DB under Eur. 314? Oyes 121No
Please list all parties related to the account
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> I can be selected).
• f none of the check boxes apply, describe the partys relation to the account in the Tither column.
• Always describe the relationshp between the parties in the last column.
• Please Cal down to the ultim tefunderlying Beneficial 0 aler(s).
_egal Description hccountPIC Settlor of Jltimate Signatory Unite? ancial Significant _egal Grantor/SettiorfoundngOther
Entity g Source Holder Onna'Trust / Seneficiake Ful POA ntennediaryShateholderVepresentative Decor (please
sf Wealth Founder of—Seiner POA FIM) (>=25%) describe
equired Foundation Yon-PIC other roles
entity and/ix
Parties (indicate ndicate
related to ownership relationship
this %) pt ween
account rties)
beneficiary
KagYna • • O he
I O O Shuliak ❑ ID O O O O O O itterny
st;
beneficiary
2 O O . • • O O O O O O O s of the
dAterfly
trust;
beneficiary
3 O O KahRetard D.
• 0 • • O O O O O O fly
tat;
beneficiary
aft
4 O O i O O O O O O O O O O butterfly
rust
beneficiary
Darren • • • O O O of the
S O • El O • • butterfly
Indyke
mut;
Beneficiary
6 O O i O O O O O O O O O • of Butterfly
Trust'
Beneficiary
7 O O • • • • O O O O O • of Butterfly
Trust'
Beneficiary
8 O O O O O O O O O O O O of Butterfly
Trust;
9
SDNY_GM_00037436
CONFIDENTIAL - PURSUANT TO FED. R. t
oNFIDENTIAL
https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e...
DB-SONY-0000260
7/11/2019
EFTA_00148048
EFTA01282145
KYC Print Page 4 of 42
O O i O O O O O O O O O O Benelicisty
of Butterfly
Trust;
Benelicisty
10 O . • • a • O O O O O • of Butterfly
Trust'
Benelicisty
11 O O • O O O O O O O O O of Butterfly
Trust;
Geneticists
12 O O iO O O O O O O O O O of Butterfly
Trust
23 2 e Tamer*/ 2 O O O O O O O O O
14 • DI Ktka
eltialS • • •
• 2 O O O O IN Trustee;
15 O O : er • • • • 2 O O O O • Trustee;
26 O 2 2ci
psite
rer . O O 2 2 O O O O O O wetter;
ONFIDENTIAL
SDNY_GM_00037437
CONFIDENTIAL - PURSUANT TO FED. R. t DS0NY-0000261
B-
I
ht tps://db forcepb.my.sa lesforce.corn/servlet/servlet.lntegration?lid=01N 300000001)9 Di & e... 7/11/2019
EFTA_00148049
EFTA01282146
KYC Print Page 5 of 42
2. Account Ownership Summary
Account Name: The 2007 Jeffrey E. Epstein Insurance Trust 03 - Deposit Acct. Number (rearlable)
Account Manager: stew °Weld
What Is the purpose of the account ( g. portfolio management, advisory account, custody sallow, long-term immanent, payment/expense account)? Checking
account to hold holds for this Ira
Indicate from where the assets we expected to amve?
0 D8 Group: Same Booking Center (Indicate account number):
O DB Group: Other Booking Center (Indicate D8 Mahon and account details):
O Other Institutbon — (Indicate name & location):
O physical Deposit (specify cash, seanties, chequm, ...):
What is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: no inflows/outflows
What is the expected volume of assets and currency for the account approx. 90 days 1259.05 Currency
after opening? I I usd
What is the expected volume of assets and currency for the account approx. one year 1239.05 Currency
after opening? I I usd
Does/will the client have Assets Under Management (AuM) within D8 under Eur. NV ❑Oyes 2INo
Please list all parties related to the account.
For each party:
• Check If a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this accowit (> I can be selected).
• f none of the check boxes apply, describe the party's relation to the account In the tther column.
• Always describe the relationship between the parties in the last column.
• Please Ord down to the ohm tejunderlying Beneficial 0 rner(s).
_egal ›escription AccountPIC Senior of Jitimate Sonataydnutecirranclal Significant _egal GrantodSettiorfoundompther
Entity of Source Holder DemerTrust / 3eneficlake Ful 0OA InterTnedlaryShareholderliepresentame Donor (please
f Wealth Founder &Owner POA (MM) (>=25%) describe
equired Foundation Yon-PIC other roles
entity and/or
Parties (indicate ndicate
related to a‘wersh0 relationship
this 51,) r atween
account • rties)
Beneficiary
of The
2007
I O . a • oo 0 0 00 • o O Jeffrey E.
Osten
Insurance
Trust #3;
The 2007
Jeffrey E.
2 2 5 Epstein 21 O O O O O O • O •
Insurance
Trust X3
3 O 5
Jeffrey E. Di O 2 El O O O O O • grantor;
Epstein
Darren
4 O O In
dyke O O O O ® O O O O O Trustee;
S O O ""
Kahn D. O a • O El O O a a O Trustee:;
SDNY_GM_00037438
CONFIDENTIAL- PURSUANT TO FED. R. Ce
I ONFIDENTIAL
https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
DB-SONY-0000262
EFTA_00148050
EFTA01282147
K17C Print Page 6 of 42
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh1p Summ
3A. Individual Details (for all parties)
Individual's Name: Dated Birth:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
his/her country of rationality El yes 2 No
Address of primary nasdence:
for S years or more?
Profession/Occupation: Tax ID / SSN:
Current Employer: Posithonfrtle/Rank:
Address of employer:
Does the person work as senior executive of a DB-recognized regulated enbty in the (Wendel n yes 2 No
ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities I—I
Is the Int:tactual a Poetically Exposed Person (PEP)?(/ yes, rfeStrWel Dyes 2 No
To the best of your knowledge. Is the Individual related to an employee of the DB group?(If El Family • RierichNp El None
Family or Frimehl(o, describe)
To the best of your knoutedge. Is the Individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal coursel, client referral source, supplier of goods or services)? O Yes 2 No
Of Vales/Jibe)
Indicate where and when the dant meetlrxXs) took place:
if applicable, Indicate which bank office's have met the person:
ClieM Private Client Place of
Bank Officer Name(s) Bank Office' Other Location (speofy): Date:
' Domidle: Business:
O O O
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring soiree of wealth dmarption as aldtcated in Semen 2)
Nature of the Individual's Bus less:
Primary Country of soiree of wealth/source of Funds?
Primary industry of source of WealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalay/Earnings Ill Investment O Inbentance/G03 O Other:
Further Describe Soiree of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate roaster? For inheritance. how
did family accumulate weakh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major
activities, Important business partners.)
Estimated Annual income($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount of assets planned to invest veth PWM($):
Otter Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Pkit:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, othe family minters, etc.):
SDNY_GM_00037439
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
DB-SONY-0000263
7/11/2019
EFTA_0014805 I
EFTA01282148
KYC Print Page 7 of 42
SDNY_GM_00037440
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000264
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148052
EFTA01282149
KY(' Print Page 8 of 42
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh1p Summ
3A. Individual Details Oct all parties)
Individuals Name: karYna Shullak - Date of Birth:
Country of Residence: USA Country of Otizenship: Slovakia
Has client resided outside of
his/ler cony of nationality O yes 2 No
Address of primary residence:
for 5 years a more?
Profession/Occupation: )SC Interiors LLC Tax ID / SSN:
Current Employer: )SC Interiors LLC Poston/Title/Rank: Interior Decorator
Address of employer: 575 Ledngton Ave 14th R New Yak NY United States 10022
Does the person work as senior executive of a DB-recognized regulated entity to the Brenda'
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes M No
Is the IncWidual a Politically Exposed Person (PEP)?(if Yes, cfesaib<9 O Yes 2 No
To the best of your knowledge, Is the individual related to an employee of the DB group, (1 • Family • Friendship El None
Panto' friendsl(o, describe)
To the best of your knowedge, Is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legs counsel, client referral source, wrier of goods a servicis)? . Yes 2 No
Of radescribe)
Indicate where and when the dent meeting(s) took place:
if applicable, indicate which bank officers have met the person:
Gent Private Client Place of
Bank Officer Name(s) Bank Office Other LoCaten (speedy): Date:
Dornbalt Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring sane of wealth dwarption as .ndtcated in Setter. 2)
Nature of the Individual's Business:
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of V/ealtIVSoutte of Funds?
Summarize Source of Wealth: O Business Owner OSalani/Eamings n Investment • Inheritance/Ms O Other:
Further Describe Soiree of Wealth /Detail the history of wealth for each of the sources: (e.g. For Ma, how did settlor accumulate wealth? For Inheritance, how
did family accumulate ‘wetth?For business owners, how long in business, how many employes, level of prohabiltty? Indicate type of business, counties of major
acavittes, importarc business partners.)
Estimated Annual Inccene(S): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest Wel PV/M($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please inacate the family situation of the individual (marital status, oche family minters, etc.):
SDNY_GM_00037441
CONFIDENTIAL- PURSUANT TO FED. R. F I DE NTIAL DB-SONY-0000265
h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148053
EFTA01282150
KYC Print Page 9 of 42
SONY_GM_00037442
CONFIDENTIAL - PURSUANT TO FED. R. Ce
I - ONFIDENTIAL DB-SONY-0000266
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148054
EFTA01282151
K1 7 C Print Page 10 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh1p Summ
3A. Individual Details (for all perms)
Individual's Name: Date of Birth:
Country of Residence: USA Country of Otizenship: USA
Has client resided outside of
his/her country of rationality O yes @ No
Address of primary residence:
for S years a more?
ProfessiceVOccupation: homemaker Tax ID I S91:
Current Employer: NES, MC Position/Title/Rank:
Address of employer: 6100 Red Hook Quarter, B3 New York United Rates 00802
Does the person work as senior emotive of a DB-recognized regulated entry in the °rands'
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 2 No
Is the IncWickal a Politically Exposed Person (PEP)?(! Yes, describe) Ores 2 No
To the best of your knowledge, is the Individual related to an employee of the DB group?(A1 O Family • Friendship El None
Pam* or Thendsh(o, desaibe)
To the best of your knowledge, Is the Individual party to a non-banking relationship with
Deutsche Bank (e.g., external legs coursel, client referral source, supplier of goods a servion)? Yes 2 No
Of radescribe)
Indicate where and when the dent meeting(s) took place:
if applicable, indicate which bank office's have met the person:
CleM Private Client Mace of
Bank Officer Name(s) Bank Office: Other tocatico (seedy): Date:
Dornialt Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring smite of wealth dompoon as aldtcated in Secton 2)
Nature of the Individual's °useless:
Primary Country of smite of wealth/source of Funds?
Primary industry of source of VfealtiVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Eamings n Investment O Inhereance/Cafis O Other:
Further Describe Smite of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of profitablitty? Indicate type of business, countries of major
activroes, important business partners.)
Estimated Annual Inccene($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount d assets planned to Invest Wel PWN($):
Cther Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Ins:Ruben: Country: Est. Assets Under Mgt:
Please indeate the family slush°, of the individual (menial status, othe family mutters, etc.):
SDNY_GM_00037443
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
DB-SONY-0000267
7/11/2019
EFTA_00148055
EFTA01282152
KYC Print Page 11 of 42
I i
SDNY_GM_00037444
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000288
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148056
EFTA01282153
KYC Print Page 12 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Date of Beth:
Country of Residence: USA Country of Otizership: Russia
Has client resided outside of
his/her Country of rationality O yes 2 No
Address of primary residence:
for S years a more?
ProfessIon/Occupation: Tax ID / SSN:
Current Employer: Postionatle/Rank:
Address of employer:
Does the person work as senior caeca:lye of a DB-recognized regulated entity in the financial
ndustry? or an entity listed ona 08-recognised exchange? (Not applicable for operating entities O Yes 2 No
Is the IncWiekal a Poetically Exposed Person (PEP)?(! Yes, deStribel Ekes 2 No
To the best of your knontedge, is the individual related to an employee of the DB groupyi • Family • Friendship El None
Family or friendsl(o, describe)
To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., edema' legs coursel, client referral source, supplier of goods a services)? . Yes 2 No
Of Yesoescribe)
Indicate where and when the dent meeting(s) took place:
if applicable, Indicate whith bank office's have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office Other Location (spotty): Date:
Domboilt Business:
O O O
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the SWAN person:
38. Wealth Details (Only for parties requiring space of wealth deso'Cdon as indicated In Section 2)
Nature of the Individual's Business:
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSaloy/Eamings U Investment • InhentanceiGift O Other:
Further Describe Source of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inheritance, how
did family accumulate weakh?For business owners, how long in business, how many employees, lewd ct profsatillity? Indicate type of business, countries of major
activlbes, important business partners.)
Estimated Annual income($): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest side PVIM($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, othe family minters, etc.):
SDNY_GM_00037445
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
DB-SONY-0000269
7/11/2019
EFTA_00148057
EFTA01282154
KYC Print Page 13 of 42
I i
SDNY_GM_00037446
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000270
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148058
EFTA01282155
K Y ( ' l'ri nt Page 14 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownershla Summ
3A. Individual Details (for all parties)
Individual's Name: Susan Mary Hamblin - Date of Birth:
Country of Residence: USA Country of Odzenship: United Kingdom
Has client resided outside of
his/her comb), of rationality O yes 0 No
Address of primary residence:
for s years a more?
Profession/Occupation: Tax ID I SSN:
Current Employer: Postionatle/Rank:
Address of employer:
Does the person work as senior executive of a DB-recognized regulated entity in the financial n yes O No
ndustry? or an entity listed an a 08-recognised exchange? (Not applicable fix operating entities I—I
Is the IneWidual a Politically Exposed Person (PEP)?(if Yes, deSCribel Dyes O No
To the best of your knowledge, s the Individual related to an employee of the DB groupyr • Family • Friendship 0 None
Family or Prime/shy, deribe)
To the best of your knowledge, s the Individual party to a non-banking relationship with
Deutsche Bank (e.g., edema' legs counsel, client referral source, supplier of goods a servion)? Yes 2 No
Of rescescnte)
Indicate where and when the oem meetinas) took place:
if applicable, Inelcate whith bank office's have met the penal:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speofy): Date:
DornKile: Business:
O O O
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring spine of wealth domption as indicated in Secton 2)
Nature of the Individual's Business:
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Eamings U Investment • lnhentance/Gifis O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate rea)1? For Inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major
activates, important business partners.)
Estimated Annual Incane($): Estimated amount of investable assets($):
Estimated Net Viath(S): Amount of assets planned to invest Wel PWM($):
Other Kncnvn Financial Institutions:
Instituticm Country: Est. Assets Under Mgt:
Instituticm Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mental status, othe family minters, etc.):
SDNY_GM_00037447
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
DB-SONY-0000271
7/11/2019
EFTA_00148059
EFTA01282156
KYC Print Page 15 of 42
I i
SONY_GM_00037448
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000272
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148060
EFTA01282157
KYC Print Page 16 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Date of Birth:
Country of Residence: Italy Country of Otizenship: Switzerland
Has client °sided outside of
his/her country of rationality O yes 2 No
Address of primary rendence:
for S years a more?
Profession/Occupation: Tax ID / SSN:
Current Employer: Posbonfritle/Rank:
Address of employer:
Does the person work as senior executive of a DB-recognized regulated entity in the (Vandal n yes 2
ndustry? or an entity listed on a D8-recognised exchange? (Not applicable foe operating entities I—I No
Is the indvidual a Pokicalty Exposed Person (PEP)?(1 yes, describe) O Yes 2 No
To the best of your knowledge, Is the Individual related to an employee of the DB group, (if • Family O Friendship El None
Family or Thendsh(tr, describe)
To the best of your knowledge, Is the Individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal courser, client referral source, supplier of goods a services)? O yes 2 No
Of Yadescribe)
Indicate where and when the dent meeting(s) took place:
if applicable, Indicate which bank officers have met the person:
OeM Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speofy): Date:
Donn:Ile: Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the follwang pawn:
38. Wealth Details (Orily for parties requiring watt of wealth dm:nor:Ion as indicated in Section 2)
Nature of the Individual's Gumless:
Primary Country of smite of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: . Business Owner OSalay/Eamings • Investment • Inheritance/Oft O Other:
Further Describe SoLece of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate wealth? For Inhenrance, how
did family accumulate ‘wetth 'For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major
activities, rnportarg business pa tnets)
Estimated Annual Income($): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest wth PWM($):
Other Knom Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Indicate the family situation of the individual (marital status, othe family mentors, etc.):
SDNY_GM_00037449
CONFIDENTIAL- PURSUANT TO FED. R. C)N F I DENTIAL DB-SONY-0000273
h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148061
EFTA01282158
KYC Print Page 17 of 42
I i
SDNY_GM_00037450
CONFIDENTIAL - PURSUANT TO FED. R. Ce
I - ONFIDENTIAL DB-SONY-0000274
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA 00148062
EFTA01282159
K 17C Print Page 18 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Date of Birth:
Country of Residence: Russia Country of Otizership: Russia
Has client resided outside of
Ns/her couury of nationality O yes 0 No
Address of primary residence:
for S years or more?
Profession/Occupation: Tax ID / SSN:
Current Employer: Postionatle/Rank:
Address of employer:
Does the person work as senior executive of a D8-recognized regulated entity m the financial n yes O
ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating eMities I—I No
Is the InoWlokral a Politically Exposed Peps, (PEP)?(if Yes, desalt(*) O Yes O No
To the best of your knowledge, Is the Individual related to an employee of the DB groupW • Family O Friendship 0 None
Family or Thendsh(o, describe)
To the best of your knowledge, Is the individual party to a non-tanking relationship with
Deutsche Bank (e.g., edema' legs coursel, client referral source, warier of goods a servion)? Yes 2 No
(if radescribe)
Indicate where and when the dots meeting(s) took place:
if applicable, indicate whIth bank officers have met the person:
CleM Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speofy): Date:
DornKilt Business:
O O O
O O •
O O O
• Wealth Details for this Individual are not filled In, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring soiree of wealth domphon as aldtcated in Sector. 2)
Nature of the Individual's Business:
Primary Country of smite of wealth/source of Funds?
Primary Industry of source of V/ealtIVSoume of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Eamings U Investment • Inheritance/Oft O Other:
Further Describe Soiree of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate vomit'? For Inheritance, how
did family accumulate weakh?For business owners, how long in business, how many employes, level of profitability? Indicate type of Mildness, countries of major
activities, important business partners.)
Estimated Annual Income($): Estimated amount of Investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest with PV/M($):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indcate the family situation of the individual (marital status, othe family members, etc.):
SDNY_GM_00037451
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
DB-SONY-0000275
7/11/2019
EFTA_00148063
EFTA01282160
KYC Print Page 19 of 42
I i
SDNY_GM_00037452
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000276
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148064
EFTA01282161
KY(' Print Page 20 of42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh1p Summ
3A. Individual Details (for all parties)
MOM:lugs Name: Date d Birth:
Country of Residence: USA Country of Otizenshlp: USA
Has client resided outside of
his/her cony of nationality O yes 0 No
Address of primary modence:
for S years a more?
Profession/Occupation: Tax ID / SSN:
Current Employer: Positionatle/Rank:
Address of employer:
Does the person work as senior executive of a DB-recognaed regulated entity in the financial
ndustry? or an entity listed on a 08-recognised exchange? (Not applicable for operating entities O Yes 2 No
Is the 'nova:4AI a Politically Exposed Person (PEP)?(d Yes, describe) Ekes O No
To the best of your knowiedge, s the individual related to an employee of the DB group, (if • Family O Friendship 0 None
Family or friendsh(o, describe)
To the best of your knowledge, s the Individual party to a non-banking relationship with
Deutsche Bank (e.g., edema' legal counsel, client referral source, wordier of goods a servicm)? . Yes 2 No
(if radescribe)
indicate and when the dent meeting(s) took place:
if applicable, incicate which bank officers nave met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office' Other Location (simply): Date:
' Domedle: Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the follovang person:
38. Wealth Details (Only for parties requiring spine of wealth clonalpUon as indicated In Section 2)
Nature of the Individual's Bus less:
Primary Country of smite of wealth/source of Funds?
Primary Industry of source of V/ealtIVSoume of Funds?
Summarize Source of Wealth: O Business Owner OSalay/Earnings U Investment • inheritance/G(3 O Other:
Further Describe Smite of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of profitabiltty? Indicate type of business, counties of major
activities, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWN($):
Otter Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Instituticn: Country: Est. Assets Under Mgt:
Please Indicate the family situation of the individual (mental status, othe family mantes, etc.):
SDNY_GM_00037453
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
DB-SONY-0000277
7/11/2019
EFTA_00148065
EFTA01282162
KYC Print Page 21 of 42
I i
SDNY_GM_00037454
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000278
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148066
EFTA01282163
K17C Print Page 22 of 42
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Date of Birth:
Country of Residence: USA Country of Otizenshlp: USA
Has client resided outside of
his/her cotaury of nationality O yes 2 No
Address of primary residence:
for S years a more?
Profession/Occupation: Tax ID / SSN:
Current Employer: Postionatie/Rank:
Address of employer:
Does the person work as senior executive of a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a 08-recognised exchange? (Not applicable fa operating entities O Yes n No
Is the Movie:Aral a Politically Exposed Person (PEP)?(d Yes, deStribe) Ekes 2 No
To the best of your knowledge, Is the individual related to an employee of the DB groupW • Family O Friendship El None
Family or friendsh(o, describe)
To the best of your knowledge, Is the individual party to a non-tanking relationship with
Deutsche Bank (e.g., edema' legal courser, diem referral source, suppler of goods a servion)? . Yes 2 No
(if radescribe)
Indicate where and when the cleM meeting(s) took place:
if applicable, Indicate whith bank officers have met the person:
fl ea Private Client Mace of
Bank Officer Name(s) Bank Office: Other Location (spotty): Date:
Domiale: Business:
O O O
O O •
O O O
• Wealth Details for this individual are not Ailed in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring spine of wealth clmarphon as ,ndtcated in Sector. 2)
Nature of the Individual's Business:
Primary Country of space of wealth/source of Funds?
Primary Industry of source of V/ealtIVSoume of Funds?
Summarize Source of Wealth: O Business Owner OSalay/Earnings Ill Investment • Inherence/Ws O Other:
Further Describe SoLvce of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For Inheritance, how
did family accumulate wealth?For business owners, how long in business, how many employes, level of profitability? Indicate type of business, countries of major
activities, tnportant business partners.)
Estimated Annual Income($): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount of assets planed to (west with PV/M($):
Other Know, Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please in&ate the family situation of the individual (marital status, othe family members, etc.):
SDNY_GM_00037455
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
DB-SONY-0000279
7/11/2019
EFTA_00148067
EFTA01282164
KYC Print Page 23 of 42
I i
SDNY_GM_00037456
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000280
https://dbforcepb.my.sale,sforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148068
EFTA01282165
K17(.7 Print Page 24 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh1p Summ
3A. Individual Details (for all perms)
Individual's Name: Date of Birth:
Country of Residence: USA Country of Otizership: Russia
Has dent re lded outside of
Ms/hercowboy of rationality O yes @ No
Address of primary residence:
for S years or more?
Profession/Occupation: Tax W I SSN:
Current Employer: Postbonatle/Rank:
Address of employer:
Does the person work as senior cocecutIve of a D8-recognized regulated enbty in the financial n yes 2 No
ndustry? or an entity listed on a 08-recognised exchange? (Not applicable foe operating eMities '
Is the indvidual a Poetically Exposed Person (Ke)?i', yes, deStribel Dyes 2 No
To the best of your knowledge, s the individual related to an employee of the DB group?(if • Family • Friendship El None
Fain* or Frimdslko, describe)
To the best of your knowledge, s the individual party to a non-banking relationship with
Deutsche Bank (e.g., edema' legs counsel, client referral source, suppler of goods ix services)? . Yes 2 No
Of racks/Jibe)
Indicate where and when the dent meetirxXs) took place:
if applicable, Indicate whirl bank office's have met the penal:
CleM Private Client Ptace of
Bank Officer Name(s) Bank Office' Other Location (speofy): Date:
' Dona:Ile: Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring spine of wealth docrwbon as aldtcated in Secton 2)
Nature of the Individual's Bustess:
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of Vfealth/Soume of Funds?
Summarize Source of Wealth: . Business Owner OSalary/Eamings U Investment • InhentanceGacts O Other:
Further Describe Sotvce of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate math? For Inheritance, how
chi family accumulate weakh?For business owners, how long in business, how many employee, level of profitability? Indicate type of Dulness, countries of major
activities, tnpetant business partners.)
Estimated Annual Income($): Estimated amount of investable assets(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Cther Know, Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Pkit:
Institution: Country: Est. Assets Under Mgt:
Please incicate the family situation of the individual (marital status, othe family members, etc.):
SDNY_GM_00037457
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e...
DB-SONY-0000281
7/11/2019
EFTA_00148069
EFTA01282166
KYC Print Page 25 of 42
SDNY_GM_00037458
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000252
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148070
EFTA01282167
K Ye Print Page 26 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Darren Inchke • Date of Bath:
Country of Residence: USA Country of Otizenship: USA
Has client resided outside of
his/her cony of nationality O yes 0 No
Address of primary residence:
fors years a more?
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: Southern Hnandal LLC Postionaide/Rank:
Address of employer: 6100 Red Hook Quarter B3 St Thomas 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a DI3-recogniscd exchange? (Not apptcable foe operating entities O Yes 2 No
Is the indvidual a Poetically Exposed Person (PEP)?(I Yes, deSCribe) Dyes O No
To the best of your knowledge, s the individual related to an employee of the DB group?(Ar • Family • Friendship 0 None
Pam* or Frimdsl(o, describe)
To the best of your knowedge, Is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal courser, client referral source, suppler of goods a services)? . YES 2 No
(if radescribe)
Indicate where and when the dent rneetirxXs) took place:
if applicable, indcate which bank office's have met the person:
CleM Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speofy): Date:
Dorntile: Business:
Paul Marls O O 0 9/612013
O O •
O O O
• Wealth Details for this individual are not filled in, because they are the same as for the folowing person:
38. Wealth Details (Only for parties requiring source of wealth discretion as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/sourte of Funds?
Primary industry of source of V/ealth/Source of Funds?
Summarize Source of Wealth: O Business Owner OSalay/Earnings U Investment O Inherence/Gib O Other:
Further Describe Smite of Weal h /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did setdor accumulate wealth? For inheritance, how
did family accumubte wealth?For business owners, how long in business, how many employees, level of proffabiltty? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount of assets planned to invest Wel PVIM($):
Other Knom Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mental status, othe family minters, etc.):
SDNY_GM_00037459
CONFIDENTIAL - PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019
DB-SONY-0000283
EFTA_0014807 I
EFTA01282168
KYC Print Page 27 of 42
I i
SONY_GM_00037460
CONFIDENTIAL- PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-00002S4
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148072
EFTA01282169
KYC Print Page 28 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownersh1p Summ
3A. Individual Details Oct all parses)
Individual's Name: Harry Beier - 00000987202 Date of Birth:
Country of Residence: USA Country of Otizenship: USA
Has client voided outside of
his/her cony of rationality O yes @ No
Address of primary residence:
for 5 years a more?
Professicti/Occupation: Accountant Tax ID / SSN:
Current Employer: HERIC Associates, Inc Positemintle/Rank:
Address of employer: 575 Ledngtcn Avenue, 4th Floor Homey NY United States 10022
Does the person work as senior emotive of a DB-recognized regulated entity m the (Vandal
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fox operating entitles O Yes 2 No
Is the IneWidual a PM:tally Exposed Person (PEP)?(if Yes, cleStribel Oyes 2 No
To the best of your knowledge, s the Individual related to an employee of the DB group, (if • Family • Friendship El None
Family or Thendsh(o, deribe)
To the best of your knowledge, Is the Individual party to a non-tanking relationship with
Deutsche Bank (e.g., external legs courser, client referral source, suppler of gocds or servicim)? Yes 2 No
(if radescribe)
Indicate where and viten the sent meeting(s) took place:
if applicable, Imitate which bank office's have met the person:
CteM Private Client Place of
Bank Officer Name(s) Bank Office: Other tzcatico (spotty): Date:
Domelle: Business:
O O O
O O •
O O O
O wealth Details for this individual are not filled in, because they are the same as for the foaming person:
38. Wealth Details (Only for parties requiring smite of %yeah discretion as indicated in Section 2)
Nature of the Individual's Bustess:
Primary Country of soiree of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalary/Eamings n Investment O Inheritance/CAM O Other:
Further Describe Smite of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senor accumulate wealth? For Inheritance, lbw
did family acamiubte wealth?For business owners, how long in business, how many employees, level a profitability? Indicate type of business, countries of major
acayines, important business partners.)
Estimated Annual Incane($): Estimated amount of invistable assets($):
Estimated Net Worth(S): Amount of assets planned to invest with PVIM($):
Other Know, Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indcate the family situation of the individual (mental status, othe family minters, etc.):
SDNY_GM_00037481
CONFIDENTIAL— PURSUANT TO FED. R. CC
I ONFIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
DB-SONY-0000285
7/11/2019
EFTA_00148073
EFTA01282170
KYC Print Page 29 of 42
I I
SDNY_GM_00037462
CONFIDENTIAL - PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SONY-0000286
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148074
EFTA01282171
K 17C Print Page 30 of 42
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summ
3A. Individual Details (for all parties)
Individual's Name: Erika Keierhals - 00000499664 Date of Birth:
Country of Residence: USA Country of Otizenship: USA
Has client resided outside of
his/her cony of rationality O yes 0 No
Address of primary nzsdence:
for 5 years a more?
Profession/Occupation: Attorney Tax ID / 5511:
Current Employer: Kellerhals Ferguson Kroblin PLLC Positonfhtle/Rank:
Address of employer: 9100 Pat of Sale Mall, Ste 15 St. Thanes VI Unted States 00802
Does the person work as senior executive of a DB-recoemzed regulated entity in the (Vandal
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entitles O Yes 2 No
Is the inceekkal a Politically Exposed Person (PEP)?(d Yes, ciesente) Dyes O No
To the best of your knowledge, Is the individual related to an employee of the DB group?(AY • Family • Friendship 0 None
Family or Thendsh(o, describe)
To the best of your knowledge, Is the individual party to a non-banking relationship with
Deutsche Bank (e.g., edema' legal coursel, client referral source, supplier of goods a servicis)? Yes 2 No
(if Yadescribe)
Indicate where and when the dent meehogo) took place:
if applicable, indicate whth bank office's have met the person:
fl ea Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speofy): Date:
DornKile: Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the fceouring person:
38. Wealth Details (Only for parties requiring sane of wealth dos:ration as indicated in Section 2)
Nature of the Individual's °useless:
Primary Country of sane of wealth/source of Funds?
Primary Industry of source of V/ealtIVSource of Funds?
Summarize Source of Wealth: O Business Owner OSalay/Eamings O Investment O Inheritance/Oft O Other:
Further Describe Scene of weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, kw did settior accumulate wealth? For inhentance, how
did family accumulate ‘watth'For business owners, how long in business, how many employees, level of profitability? falcate type of business, countries of major
activities, amportare business pa tners.)
Estimated Annual Incane(6): Estimated amount of invostable assets($):
Estimated Net Vforth(S): Amount of assets planned to invest Wel PVIM($):
Other Know, Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please Indcate the randy situation of the individual (marital status, othe family minters, etc.):
SDNY_GM_00037463
CONFIDENTIAL- PURSUANT TO FED. R. CC
I ONFIIDENTIAL
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
DB-SONY-0000287
7/11/2019
EFTA_00148075
EFTA01282172
KYC Print Page 31 of 42
I i
SDNY_GM_00037464
CONFIDENTIAL- PURSUANT TO FED. R. IA
I - ONFIDENTIAL DB-SDNY-0000288
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019
EFTA_00148076
EFTA01282173
KYC I'rint Page 32 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account OwnershlD Summ
3A. Individual Details (for all parties)
Indhnduars Name: Jeffrey E. Epstein - 00000483289 Date of Beth:
Country of Residence: USVI Country of Otizenship: USA
Has chat reeled outside of
Address of primary residence:
Utte Saint James Saint Thomas mein United States his/her cowboy of rationality O Yes 0 No
for S years or more?
Professicri/Occupation: Set Empolyed Tax ID / SSC
Current Employer: Southern Flnandal LLC PositionaMe/Rank: PresideM
Address of employer: 6100 Red Hock Quarter B3 St. Thomas United States 00802
Does the person work a senior executive of a DB-recognized regulated entity in the (Vandal n yes 2
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities " I No
Is the IneWidual a Poetically Exposed Person (PEP)?(d yes, dernibe) connection with Prince n Yes O No
Andrew and Bill Oran
To the best of your knowledge, s the individual related to an employee of the DB groupW • Family • Friendship 0 None
Family or Thendsh(o, describe)
To the best of your knowledge, s the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legs counsel, client referral source, supplier of goods or service)? . Yes 2 No
(if Yadescribe)
Indicate where and when the dent meeting(s) took place:
if applicable, indicate which bank others have met the person:
Gent Private Client Place of
Bank Officer Name(s) Bank Office Other Location (speedy): Date:
Donn:Ile Business:
. O O
• O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the folkwang person:
3B. Wealth Details (Only for parties requirirg soiree of wealth demption as indicated in Section 2)
Nature of the Individual's Baseless: Private investmew
Primary Country of soiree of wealth/source of Funds?
Primary industry of source of VrealtIVSource of Funds?
Summarize Source of Wealth: Business Owner OSalanyEarnings Investment • Inheritance/Gift O Other:
Further Describe Source of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did senior accumulate weal,? For inhentance, how
did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major
activities, important business partners.) Jeffrey Edward Epstein (born January 20, 1953) Is an America, Anancler and registered sex offender in the United States.
He worked at Bear Stems early in his career and then formed his own Arm, Epstein & Co. In 2008, Epstein was convicted of soliciting an underage girl for
prostitution, for whorl he saved 13 months iii prison. He lives In the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from
1973 to 1975. Among his strident was a son of Alan C. Greenberg, chairman of Beat Stearns.
In 1976, Epstein started work as an optiors trader at Bear Steams where he worked in the special product division, advising high-net-worth clients on tax
strategies. Proving successful In Ns financial career, ri 1980 Epstein became a pater at Bear Steams.
In 1982, Epstein founded his own financial management firm, J. Epstem & Co., manawng the assets of cents with more than $1 an in net worth. In 1987,
Leslie Wexner, founder and chairman of Ohio-based The Limited chain of woolens clothing stores, became a well-known diem. Wexner acquired Aberaomble &
Fitch the following year. In 1992 he converted a private school on the Upper East Side into an enormous residence. Epstein later bought that property, in the
wealthiest pat of Manhattan. In 1996, Epstein changed the name of his firm to the Firandal Trust Company and, for tax advantages, based it on the island of St
Thomas In the US. Virgin Islands.
In 2003, Epstein WI to acquire New York magazine. Other bidders were advertising executive Donny Deitch, Investor Nelson Pela, media mogul and publisher
Mauna Zuckerman, who had the New York Daly News, and Alm producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall
Street investor, who paid $55 million.
In 2004, Epstein and Zuckemian committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and
Zuckerman were equal parses in the venture. Roshan, as ie editor-In-chief, retained a smal °mashy, stake.
SDNY_GM_00037465
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EFTA_00148077
EFTA01282174
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Presently, Mr. Epsten founded Southern Trust Company Inc, a private consulting company that Invests the assets of their clients and gets thee revenue from the
return of these investmene. Southern 'MS invests in different portfotLos catered to their dents and makes their revenue based on the rettrns and the fees
associated with managing their dienes asses.
Estimated Annual Income($): 10,000,000.00 Estimated amount of investatie assets($), $50 MM - 100 MM
Estimated Net Worth($): $500 MM + Amount of assets planned to Invest with PWM($):
Other Known Financial Institutions:
Institution:
1_ Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other faintly members, etc.):
SDNY_GM_00037466
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EFTA_00148078
EFTA01282175
KYC I'rint Page 34 of 42
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownershlu Summ
3A. Individual Details (for all parties)
Individual's Name: Oxnard D. Kann • DCOOD.48640/ Date of Binh:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
his/her cony of nationality O yes 0 No
Address of primary residence:
for 5 years a more?
Profession/Occupation: Accountant Tax W I SSti:
Current Employer: HEIRK Asoclatw, Inc Positenatig/Rank:
Address of employer: 57S Ledngton Ave, 4th Fl New York NY United States 10022
Does the person work as senior executive of a DB-attained regulated entity in the (Wendel
ndustry? or an entity listed al a DB-recognised exchange? (Not applicable fa operating entities O Yes O No
Is the indvickal a Poetically Exposed Person (PEP)?(d yes, describe) Oyes O No
To the best of your knowledge, s the individual related to an employee of the DB group, (if • Family O Friendship 0 None
Family or Thendsh(o, describe)
To the best of your knowledge, s the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legs counsel, client referral source, suppler of goods a serviow)? . Yes 2 No
(if radescribe)
Indicate where and Mien the dent meeting(s) took place:
if applicable, Indicate which bank officers have met the person:
fl ea Private Client Dice of
Bank Officer Name(s) Bank Office: Other location (speofy): Date:
Dornelt Business:
O O O
O O •
O O O
O Wealth Details for this individual are not filled in, because they are the same as for the fceowing person:
38. Wealth Details (Only for parties requiring wine of wealth deo:notion as indicated in Section 2)
Nature of the Individual's Buseess:
Primary Country of space of wealth/source of Funds?
Primary Industry of source of Vfealth/Soume of Funds?
Summarize Source of Wealth: O Business Owner OSalani/Eamings n Investment • Inheritance/We O Other:
Further Describe Smite of Weal h /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For Inheritance, how
did family accurrebte wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount d assets planned to invest Wel PVIM($):
Cther Know, Financial Institutions:
Institution: Country: Est Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, of he family members, etc.):
SDNY_GM_00037467
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DB-SONY-0000291
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EFTA_00148079
EFTA01282176
KYC l'rint Page 35 of 42
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Simms
3C. Legal Entity Details (For all Legal Entities)
Legal Entity same The Haze Trust - 00000486928
O Foundation/Assozation I& Trust O Company M Estate 0Private Investment
Type of Entity. Purpose of Entity:
O Partnership PNIaMlycpic/Cteritable O Commerdal
Ptrpose of Entry
Type of EntryOther (specify):
Other (specify):
Country of United Sates Virgin Islands Date of ircorporation / 2/9/1999
Incorporation/registration: registration:
Identined on Profile No
Vokker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter 83 St, Thomas 00802 Unwed States US. TIN/EIN:
code):
Provide a description of the entity's orgartaatiorel structure, its ownership structure and its Top Management For trustsffoundatIons, include informauon about
revocability settler and benefidanesetc:
Jeffrey Epstein: Grantor/Beneficiary
fren Indyke: Trustee
Pease indicate how ownership of the legal entity Is reflected: Jeffrey Epstein: Grantor
Darren Indyke: Trustee
O Spedal attention: Bearer Shares - Indicate where shares are custodled:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (lade thenine persons) Jeffrey Epstein: Grantor/Benenclary
Darren Indyke: Trustee
To the best of your knowledge, is the entity party to a non-banidng relationship with Deutsche
Balk (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes El No I2
Describe Nature of Entity's Primary Business and Investment Activities
The oust was Initially funded wth 5100. The mut makes and holds Investements and the gains It
Nature of the busress: makes fran those Investments is its source of revalue. The trust, In tun, puts these gains back
into the trust and reinvests.
Countries where business is transacted: USA, USVI
Number of employees: 2
3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Seddon 2)
Primary Country of smote of wealth/source of Funds?
Primary Industry of source of Vreath/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent strnmary of assetsfflataties):
The trust was wally fulled wth $100 from Jeffrey Epstein. The Oust makes aid holds invontements aid the gains t makes from those Invistinents is it source of
revenue. The trust, In tum, put these gains back into the trust and reinvests.
Estimated gross receipts p.a.(S): 300000.00
Estimated net profit p.a. (S): 200000.00
Estimated investable assets (S): $20 MM - SO NM
Potential Amount to be invested with PIM (5): 200,000.00
ether Known Financial Institutions:
Institution: DB Country: USA Est. Assets Under Mgt: 23,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
I
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EFTA_00148080
EFTA01282177
KYC Print Page 36 of 42
Legal Entity Name: Butterfly Trust - 00000986426
O Foundation/Association lin Trust O Company • Estate 0 Private Investment •
Type of Entity: Purpose of Enoty:
O Partnership Philanthropic/Charitable • Commercial
Ptrpose of Entity
Type of Entity Other (specify):
Other (speedy):
Courtly of USA Date of inoorporatkin / 12/27/2006
inorporationfregistraton. registration:
Manlike on Customer Profile No
Volcker Status: Vokker Flag:
Address (city, street, post 6100 Red Hock Quarter B3 St, Thomas 00802 United States US. TIWEIN:
code):
Provide a desorption of the entity's organizational structure, Os ownership structure and is Top Management. For trustsfloundatbons, Include Information about
revocabiltty,settlot and teneficiates,etc:
This is an Irrevocable trust set up by Jeffrey Epstein as the grantor. The the benefroaries for the trust are being updated by the arrant trustees The trustees are
Ha Beller and Erika Keierhals. The benehoaries are:
..dnen Ind
‘a Struliak
RiChard Kahn
Attached are the original trust agreement and the addition/deletko of beneficiary instrument to support this change. Acceding to the original trust agreement, tire
trustees have the rioht during the lietrne of the Grantor to delete or add beneficiaries under Nt.de 3 of the aoreement.
Please indicate how ownership of the legal entity Is reflected:
O Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (dna Ure some personS)
SDNY_GM_00037469
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EFTA_0014808 I
EFTA01282178
KYC Print Page 37 of 42
To the best of your knowledge, the entity party to a non-banking renticaship with Deutsdre
'Yes O No2
Bank (e.g. external legal courser, dent referral source, suppler of goods et services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the busness: Trust account
Countries where business is transacted: USA, USVI
Number of employees: N/A
3D. Weald, Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assersfilateitles):
Tan account with Jeffrey Epstein as Granter. Initial $100 gNe to the accourt to fund. The funds for this trust account come from Investrnents made by Jeffrey
Epstein. Hs wealth profile s filled out.
Estimated gross receipts p.a.(;): 4,500,000.00
Estimated net profit p.a. ($): 4,500,000.00
Estimated investable assets ($): S5 MM - 10 MM
Potential Amount to be Invested with PAIN (5):
Other Known Financial Institution:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTRY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Name: The 2007 Jeffrey E. Epstein lnsuranoe Trust 83 - 00000487199
Type of Entity:
O FoundaUon/Association 2 Trust O Company O Estate Purpose of Enoty:
0 Private Investment O
• Partnership PhilaMhropic/Ctentabe OCommercial
PLrpose of Entity
Type of Entity Other (specify):
Other (sPetifY):
County of USVI Date of incorporation / 11/1/2007
incorporatienfregistration: regsnation:
Deternanaticn Required No
Vokker Status: Volcker Flag:
Address (city, meet, post 575 Ledngten Ave, 4th Fl New York NY 10022 United States US. TIN/EIN:
code):
Provide a desorption of the entity's organizational SItillaUfn, IN ownership structure and n Top Management. For truss/foundations, Indude Information about
revocability,settkr and benefidaries,etc:
Jeffrey Epstein: Grantor
Darren Indyke: Trustee
Richard Kahn: Trustee
Please Indicate how ownership of the legal entity is reflected:
O Special attention: Bearer Shares - Indicate Mere shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifnot the same persons).
To the best of your knowledge, ode entity party to a non-banking retatienship with Deutsche
Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes O NoO
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Trust account
SDNY_GM_00037470
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EFTA_00148082
EFTA01282179
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Countries where business Is transacted: USW, USA
Number of employees: 2
3D. Wealth Profile (Only for patties requiring source of wealth description as Inckated in Section 2)
Primary Country of smote of wealth/source of Funds?
Primary Industry of source of Weattb/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent stinmary of asseWliabreoes).
The funds for this trust account come from corenbutions mad by the Grantor, Jeffrey Epstein. His source of wealth can be found w his wealth profile
Estimated gross receipts p.a.(S):
Estimated net profit p.a. (5):
Estimated investable assets (5): <S1 MM
Potential Amount to be Invested with PWM (5):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt
Institution: Country: Est. Assets Under Mgt
Institution: Country: Est. Assets Under Mgt
SONY_GM_00037471
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EFTA_00148083
EFTA01282180
KYC Print Page 39 of 42
DB NM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA
Relationship Name EPSTEIN, JEFFREY RBATIONSHIP
Risk Rating Comments:
Booking Center O O Moderate batra No Risk Yoonsun Chung
NY • Offshore
NY/Offshore (Risk
(Complance Signature)
O DB Employee O DB Managed PIC O C43 6 Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided 12IDrivers License 12 Passport O National/State ID O Other
B. Chedist of names (Individuals and/or entitles) that were submitted for database searches is attached 2 Yes O No
C. Please indlote the results of the database searches performed
RDC searches complete El Yes • No negate results found O Yes Sr No
PCR checks complete E Yes O No negate results found El Yes O No
CfAC checks complete @Yes O No negative results found Dyes 12INo
BIS searches complete (Leos/Nods, Facbva, Reuters, Dow Jones, D&B) @Yes O No negative results found Ores n No
Denial Orders decks complete Pi Yes O No negative results found Dyes T.; No
Martirdale-Hubbel searched (Lawyers/Law Firms ally) El Yes 0 No negate results found O Yes O No
Please surnmarae any negative results from the database searches Indicated above: BUTTERFLY TRUST:
Negative Media: MI negative media pertains to a company called the Butterfly Trust In Europe. This Is not our client. Our client is an actual trust created by a
Grantor and not a company.
No court cases
JEFFREY EPSTEIN:
Previously approved KYC tr:01082293 & 01121718
All negative media pertains to court caste which have been previously approved in the above mentioned KYCs.
Court Cases have been dosed
RDC alerts for Richard Kahn came up but they were al false positives as the age and locations of the alerts did not match the age and address on file.
0. HARRY BELLER:
No negative mesa
Court case lists him as a defendant for being chef of medical staff for Jackson Memorial Hospital. The court concluded that the plairoff had no cognizable claim
that his cnil rights has been violated, but refused to dismiss his complaint as to his antitrust claim Defendant' motion was thus granted in part and denied in
part. The defendants listed in this case have not committed any illegal acts of conduct in any way. The case was settled on 6/30/1987.
ERIKA KELLER/14LS:
No negative media
Erie Is an attorney and listed as legal cowtel for several court case. Court case to appeal from a decision of the bankruptcy court. Appellee trustee moved to
dismiss the appeal for faCure to prosecute under Fed FL of the sot Palle factors, five weighed in favor of eksmissal and c was vented. Another court case for
dlssoMng of marriage and property settlement. The case was concluded.
CMI court case 1:1Scv7433 Virginia Giuffre v G'lslalne Maxwell for assault, tel & slander. was listed as a miscellaneous party but the case was
dosed In May 2017. She was not listed as a piantff nor a defendant, aril was not charged with anything. She does not pose a risk to the bank.
E. To the best d your knowledge, has the client ever been convicted of a crrnirel offense? gives O No
To the best d your knowledge, has the customer ever been involved In any past litigation against
Deutsche Bank AG or any of its subsidiaries or Is the customer threatening litigation against Deutsche O yes 0 No
F. Bank AG a any dits subsidiaries? (If Yes, provide dna& bekiw at/dew/tag2 QuaRy Mgt
(LalAmantpor theRegulatory Control Group andnotify Compliance immedWeek)
G Does the client or related party have any financial or other association / nteracuons within counvies Dyes 0 No
or repines sanctioned by the Office of Foreign Assets Control (OFAC)?
H Does the client or related party have any financial or other association/ interactions within Ngh rlsk O 1t 2 No
countries?
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EFTA_00148084
EFTA01282181
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1. Corporate Dccumentaton Attached (Legal Entities Only) O Yes O No O Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No Not Applicable
K. If LedsiNeAs Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an English summary of the
nahreiccotents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Speoal Risk Countries? O Yes 0 No
Is the accmat structure unusualy complex? Ekes El No
Is there any indication the client set up a non operating company expressly r -a
for the purpose of transfemng shares to third parties? LJ Yes 12INo
Is there any indication this could be a prohibited business relationship? ayes 2 No
Are the bearer shares Identified subject to acceptable contras? Oyes RI No
SONY_GM_00037473
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DB-SONY-0000297
EFTA_00148085
EFTA01282182
KYC Print Page 41 of 42
M. Case Comments
Created By Date Comments
Cynthia Rodrguez 9/6/117 12:05 AM recent research and gocgle searches for Erika Kellerhals can be found in approved case 01790655.
Cynthia Rodrguez 9/6/117 12:09 AM ID for Erika Keeerhals can be torrid In approved case 01394537
This KYC serves as a high risk update for the below listed dials (together "accountholders') -
I. The Haze Trust
2. Butterfly Trust
3. The 2007 Jeffrey E. Epstein Insurance Trust 93
Below are the reasons why we are comfortable with approving this KYC:
• Information and supporting documents required by ow AML Policy were provided and reviewed; and as a result,
we have an understanding et the structure of the accamtholders, their purpose, the purpose of the accounts and
expected transaction activity.
Kshaa Goan' 9/6/117 3:22 PM • There are a few risk factors assodated with the accountholders —
SOW: The U80 (Jeffrey Epstein) Is the founder of Southern Trust Company Inc, which manages client's assets.
SOW verifkation was obtained.
Negative Media & PEP: There is some negative media against Mr Epstein and he is also mantains a dose
relationship with Bill Clinton and Prince Andrew. Meese see risk calculator for more information. Appropriate
approval was obtaned.
• Our review did not identify any red flags and thus there was no need to escalate this case further.
• We performed due diligence searches on all parties and cid not find the names searched to be on any sanctions
ists.
No material changes confsmed by the client via phone an 08/22/2017.
CyntNa Rockguez 8/29/117 5:25 PM No G891 forms required as determination is already noted on the system.
Senetidaries ate a added as parties with DOB at as. address & !Ds
ONSHORE APPROVALS
Cent Facing Professional (CFP): Chuck Walker :S.5 matue) 8/25/2017
Chuck Walker
Office Director/Business Head: Steven Mattus (Sgnatae) 8/29/2017
Steven Mathis
Regional Office Director: (Signatite)
AML Business Risk:
(Signature)
NIL Compliance:
(Signature)
Kshit Godard Ksh ga) Cola's 9/6/2017
Yoonsun Clung YOOnSul Chung 9/612017
LATAM/INTERNATIONAL APPROVALS
Cent Faing Pvi:MsPrial (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (GMThl)/Sub- (Signature)
Market Team Head (511TH):
NIL Business Risk:
(Signature)
NIL Compliance:
(Signature)
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EFTA_00148086
EFTA01282183
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PRIVATE WEALTHMANAGEMENT POLICYSTATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals1(1)
(CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of
suitabiliiy, background and character. Due diligence obtained on the client must be appropriately documented by the
CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and
on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information
is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on
thepan ofthe client(s) and that i havefollowed all the procedures relating to account opening as described in the PWM
Americas Procedures and the PWM Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers,
Client Managers, etc.
Deutsche Bank Americas New York
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EFTA_00148087
EFTA01282184