EFTA01282264
Dataset 10 · 14 pages · 1.4 MB · 4,992 words
Extracted Images (14) #
People (4) #
Extracted Text #
KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01121738 Status : 6. Approved One sheet must be established Sadonsh - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY REtATIONSHIP: Booking Center: N'-t. mi rk Relationship Manager: Pad Morris w New PWM Relationship .4 O Exciting PWM Relationship Relationship to PWM: II existing, please indicate since when the relationshi exists, provide reason for new rook and attach old proffle: New personal chaffer:9 and money market for Jeffrey Epstein. This S an update of approved KYC $01082293 where Jeffrey has already been approved. • Client Referral El RM Prospect O Intermediary/71M O Other Source (as, exc.) How Was the Chang') Introduced, How long has the RM personalty known the Meese provide details (e.g. ante of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was clients a client of Paul's at ./P Morg n. Paul and Jeffrey Epstein had a mutual frlendffoleague who Introduced them while Paul was at WMorgan. Over the course f a few meetings Paul was able to get Jeffrey to bring some of his funds over to JOMorgan Does Deutsche Bank pay a • Yes 110 No retrocession or similar conipensatto toe third party for the introduction of this (71 Yes, descnbe): relationslic, list all existing and new accounts invoked in this relationship Legal Entity Cunt Name / Number Opening Date (ntended/adual) Account(s) I O Southern Finandal, LLC 8/19/2013 2 El Southern Financial, LLC 8/19/2013 3 RI Southern Trust Company, Inc. 8/19/2013 4 12 Southern Trust Company, Inc. ti19(2013 5 I21 Jeffrey Epstein 9/11/2013 6 5 Jeffrey 'PStenl 9/11/2013 Who is he primary contact person or the Rme (Note: This Preferred method of contact person needs to have Jeffrey Epstein 390 775 2525 (indicate phone no., fax no., signatory rights and/or e-mail address, etc.): Information right for the accounts.): SDNY_GM_00037667 https://dbforcepb.my.salesforCCINEADailIJIAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DE-SDNY-0000491 EFTA_00148276 EFTA01282264 KW' Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, !IC Acct. Number Ofavailable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)/ Money Market. To hold funds for the company. Indicate from where the assets are expected to ante? El DB Group: Same Booking Center (Indicate account number): El DB Group: Other Booking Center (Indicate DB location and account details): Fr Other Ina/ration (Indicate name & location): JPMorgan, NYC .4 El Physical Deposits (specify cash, securities, cheques....): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)'': Roughly 2 inflows & outflows per month ranging from $1000 to $10,030. I Currency I USD What is the expected vokime of assets and currency for the account approx. 90 days alter opening, I 1150,000 What is the expected volume of assets and currency for the account approx. one year alter opening? I Cana." ' USD DoesAvil the client have Assets Under Management (MM) within DB under Eur. 3M? Dik•S 0 tdo Please list all parties related to the account. For each party: • Check t a source of wealth escription Is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f non of the check boxes pply, describe the party's relation t the accot.it in the `Other column. • /Wray descnbe the relation hip between t e parties n the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Ccoal Description AccountplC Senior of Monate Signatormantectinancial Significant egal Srantor/Settbr Founding Other :abb.)! Source Holder OwnerTrust / Bendiciabr Full 'NM Intermettlan/Sharehoklerlepresentatbe Donor please of Wealth Founder of >erne, POA (FIN) > -25%) describe retuned Foundation Non-PIC Aber roles entity and/cc Parties indicate ndicate related to ownership relationship this , 0) between Account Unties) Sok shareholder 3 O 0 se" Epstein O O O O O O O CI O 0 of Southern Trust; Southern 2 El 0 Financial NI in [ -1 ri rl (7) El 11 ITI LIC Southern Trust is the sole member of Southern Southern Trust 3 5gl Company, • O CI O O O O 100 O O O and Jeffrey Inc. Epstein is he sole shareholder of Southern Trust; SDNY_GM_00037664 hups://dbforcepb.my.salesforcaaNtallacMUN0000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000492 EFTA_00148277 EFTA01282265 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Southern Financial, tic Am. Number (f warlable) Account Manager Paul Moths What is the purpose of the account (e.g. pertfolio management advisory account, custody services, long.tern Investment, payment/emense account)' Checking account to hold funds for the corrpany. Indicate from mime the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate OB location and account details): El Other InstAution (Indicate name & locationk lfliorgan, NYC O Physkal Decosits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)y: Roughly 10 Slows and 10 °Wm..' per month ranging from $1,000 to $10,000. I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' I 100,000 I Currency I USD What is the expected vc4urne of assets and currency for the account approx. one year after opening? 1 Does/will the client have Assets Under Management (AuM) wthin 011 under Fur. 3bo 0 Yes gl No Please list all parties related to the account For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to desert* the relationship lithe party to this account (> 1 can be selected). • If none of the check bows apply, describe the patty's Sefton t the account in the 'Other' token. • Always describe the relationship between the patties in the last column. • Please drill down to the ultimate/underlying Benetkial Owner(s). -egaliDescriptbn Accounb?IC Settler of Atimate gnatorytimtedrinancial Significant egal GrantonSettlotounding Other Entityol Source Holder DymerTrust/ 3eneficia r Ful POA InterinediarySharehokierRepresentative owe please of Wealth Founder of Owner (FIN) ,>n25%) irscribe required Foundation NoniPIC other roles entty and/or Parties ,indicate ndkate related to ownership ciationship this %) ietween account levities Sole Jeffrey i, • • shareholde 1 O N O N O • • • • Epstee of Southern Trust; Southern 2 12 WI Financial pi El Ei3 O O si O O O O IC Southern Trust Is the sole "veneer of Southern Southem 3 Ira O Trust ri . O O O O O 100 O O O Financial Company '—' and leffrey Inc. Epstein h the sole shareholder of Southern Trust: SDNY_GM_00037669 https://dbforcepb.my.salesforcCLINErilDaatiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000493 EFTA_00148278 EFTA01282266 KYC Print Page 4 of 14 2. Account Ownership Summary Account Nan*: Southern Trust Company, Inc. Acct. Number rdavaladet. Account Manager Paul Morris what is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, long-term investment, payment/expense account)' Checking account. To hold funds for company Indicate from where the assets are expected to arrhte? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 12 Other Institution (Indicate name & bcationk 1Pliorgan, NYC O Physkal Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 10 aillows and 10 outflows per month ranging from $1600 to $10,000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening', I What 6 the expected volume of assets and currency for the account approx. one year after 1100,000 I Currency opening, I USD Don/will the client have Assets Under Management (AuM) witNn DO under Eur. 3M? n Yes . No Please list all parties related to the account For each party: • Check I a source of wealth descrIptkin is required for the party. • Check the appropriate box to desatbe the relationship tithe party to this account (> 1 can be selected). • If none of the check bons apply, describe the party's relation t the account in the 'Other' cokxm. • Always describe the relationship between the parties In the last cokann. • Please dill down to the ultimate/underlying Beneficial Owner(s). -egallDescriptian AccounDPIC Settler of -Iltimate SignatonninsteiFinancial Significant .egal rrantortSt•ttiorrounding Other Entityof Source Holder DwnerTrust / 3enericialor RA POA GnernedarySharehoklerRepresentatse Donor please of Wealth Founder of Owner POA (FIN) ,>=25%) describe requited Foundation Non-PIC other roles entity snd/or Parties ,indicate ndxate related to ownership dationshlp his %) between account >aches) Sole Jeffrey i, • • O O O O O • • shareholder 1 III El Epste6 of Southern Trust; Southern 2 El 0 rust O O • O O O O • O T_ompany, roi ,nt. SDNY_GM_00037670 https://dbforcepb.my.salesforeCLINEIDEgrNinliAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000494 EFTA_00148279 EFTA01282267 KYC Print Page 5 of 14 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Hunter rdavaledei. Account Manager. Paul Monis What is the purpose of the account (eg. potato management, advisory account, custody services, long-term Investment, payment/expense account)? Money Market account. To hold funds for the co pang. Indicate from vane the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & location )(Morgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the tweeted size and frequency of regular idioms and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 2 inflows & outflows per month ranging from $1,000 to $10,000 I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening, I What s the expected volume of assets and currency for the account approx. one year after 1150,000 I Currency I USD opening, Does/vi the client have Ames Under Management (AuM) vAllin 06 under Eur. Ws • yes . . No Please Ilk all hordes related to the account For each party: • Check I a source of wealth desorption is required for the party. • Check the appropriate box to describe the relationship tithe party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation t the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egallDesattbn AccounOPIC Settler of Jltimate ISignatorysinitectinancial Significant _egal Grantor/Settlorrounding Otter Entityof Source Holder DwnerTrust / 3eneficiabr Ful POA 4termediarySharetiokterlepretentetive Donor please of Wealth Founder of Owner POA (FIM) ,>•25%) ieurte required Foundation Non.PIC other roles entity and/or Parties ,indicate ndicate related to ownership dationship his %) oetween account wiles) Sole Jeff m • • shareholder I O 0 Epsten rey O 2] O O O • • of Southern Trust; Southern 2 23 21 Irust -A, i❑r O O • O O O O • O _ompany, t AC SDNY_GM_00037671 https://dbforcepb.my.salesforeCLINErilDEgrialliAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000495 EFTA_00148280 EFTA01282268 KYC Print Page 6 of 14 2. Account Ownership Summary Account Name: )eltrey Epstein Acct. Number (ifavailaWe): Account Manager Paul Morris What is the purpose of the accoum (e.g. portfolio management, advisory account, custody services, long term investment, payment/expense account)' Checking account for Jeffrey Epstein's personal daily use. Indicate from where the assets are expected to anise? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): El Other Institution (Indicate name & location): Walorgan Chase. New York, NY O physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)+: Roughly 15 Slows and outflows per month ranging from $100.510,000. 150,000 I Currency I USD What is the expected vekene of assets and currency for the account approx. 90 days after opening? 1100,000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/call the client have Assets Under Management (AuM) whiln 011 under fur. 3M? • Yes 0 No Please list all parties related to the account for each party: • Check I a source of wealth description 6 required for the party. • Check the appropriate box to describe the relationship of the party to tins account (> 1 can be selected). • If none of the check boos apply, describe the party's relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last colonn. • Please drill down to the ultimatefunderlyhm Beneficial Owner(s). AgallDesciptian Account 'IC Settler of iltimate tignatory‘imitecifiriancial Significant egal `.kanter/SetUoicoundinOther [mayor Source ioldr. "Xynearust / Seneficialx RA ROA intermediary Shareho eereentative Donor *please of Wealth Founder of Owner POA (Fla) >=25%) describe required Foundation ,51ort-PIC other roles Parties pray ,indkate and/or ndicate related to ownership elationship .his Rog >etween account Tarbes) kffrey a O O 1 O 0 Epstein O O O O O O O SDNY_GM_00037672 https://dbforcepb.my.salesforCaNErilDnEgrNIAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED_ R_ CRIM. P. 6(e) DB-SDNY-0000496 EFTA_00148281 EFTA01282269 KYC Print Page 7 of 14 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (Favaabley. Account Manager Paul Morris what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold Jeffrey Epstern's personal funds. Indicate from where the assets are expected to arrive? O DC Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): El Other Institution (Indicate name & location): JPFlorgan Chase. New York, NY O Physkal Deposits (specify cash, securities, cheques, ...): What is the epected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: Roughly 1.2 Slows and outflows per month ranging from $1,000 to $20,000 I 100,000 Currency I USD What is the expected rearm of assets and currency for the account approx. 90 days after opening? 200,000 I Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? Does/w/ the awe have Assets Under Management (Aunt) within 043 under Eur. 3M? • Yes 0 No Please flat all nerd's related to the account For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check bons apply, describe the party's relation to the account in the 'Other <alum. • Ahrays describe the relationship between the parties In the last teflon. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egaliDescriptbn Account ?IC Senior of JRJrnate SignatotwirnibediFinauxial Significant eget `.kantor/SetUorfoundinOther [mayor Source lob/... mriceinist / 3eneficiabx Full ?OA Intermediary Shortly careen Donor 'please of Wealth Founder of Owner POA (FIN) >=25%) describe requited Foundation Non-PIC other roles entity ondior Parties indicate ndicate related to ovaiershlp elationshp .his 36) between acco Tanks) Jeffrey 0 O O O 0 astern ❑ O O O O SDNY_GM_00037673 https://dbforcepb.my.salesforeCLINErilDaatiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000497 EFTA_00148282 EFTA01282270 K4/'( PT nt Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (tor .ill [tat t-.) Individuars Name: Jeffrey Epstein - 00000483289 Date of Binh: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Has client resided outside of Address of primary residence: Utte Saint James Saint Thorns 00802 US Virgin Islands M5/her country of ;enormity El yes No In 5 years or more' Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: President Address of employer: 6100 Red hook Quarter 83 St. Thomas, USVI 00802 Does the person work as senior executive of a DP recognized regulated entity in the finance' CCTT ridustry7 or an entity listed on a Dave-cognised exchange' (Not appeal,* for operating entities • Yes [Ono is the indvidual a Politically Exposed Person (PEP)7(if Yes, dcsaibe) Oyes RI* To the best of your knowledge, Is the individual related to an employee of the Dt3 group'fr O Famly O Friendship 21None Family or Friendship, desaibe) To the best of your knowledge, is the indMdual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or Elves zra No senices)7(ric Yes,desaibe) Indicate where and when the client meeting(s) took place: LI applicable, indicate wfirch bank officers have met the person: Client Private Client Place of Bank Officer Name(%) Bank Office: Other location (specify): Date: Dominic: Business: Paul Morris O I: 2 4/3/2013 ID N O O 0 O ID Wealth Details for this Individual are not filled h, because they are the same as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Indleidues Business: Private Investments Primary Country of source of wealtbrsource of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: ICI Business Owner • Salary/Earnings PiInvestment II Inheritance/Gifts O Other: Further Describe Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For Dugs, bow did senior accumulate wealth' For inheritance, how did (amity accumulate 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.) Epstein began his financial career in 1976 a an options trader at Bear Stearns and became a partner) n 1980. In 1982, Epstein founded his own Joanna' management firm, J. Epstein & Co., managing the assets of theists with more than a beim in net worth. In 1996, I pstein changed the name of his firm to The Financial Trust Company and based It on the island of St. Thomas in the US Virgin Islands, which merged into southern Allan( lal U.C. Al of his clients were anonymous except for the very wealthy businessman taste Werner. HP wealth has con* from his days at Bear Stearns and his financial management firms Estimated Annual Income(1): 10,000,000.00 Estimated amount of investable assets()): 350 MM - 100 MM I stimated Net Wath($): $100 MM - KC MM Mount of assets planned to Invest with PV/M(1): 10,000.00 Other Known Financial Institutions: Institution Mangan ICountry: I USA I Est. Assets Under Mgt: 20,000,000.00 SDNY_GM_00037674 https://dbforcepb.my.salesforeCLINEIDEgrlardiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000498 EFTA (H)148283 EFTA01282271 KYC Print Page 9 of 14 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family rnernbets, etc.): Single One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Somme 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Southern Einancial LEC - 00030483882 0 Foundation/Association O This) 21Company O Estate Private Investment O Type of rutty: Purpose of Entity: PhilanthropkiChantable O O Partnership Commerce' Purpose of Entity Type of Entity Other (specify): Other (specify): Country of IS virgin Islands Date of incorporation / 2/7517013 Incorporation/registration. registration: Volcker Status: Volcker Flag: Address (city, greet, post WOO Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: code): provide a description of the entity's organtratlonal structure, Its ownenflp structure and As Top Management. For trustfffoundations, include information abo,Ii revocablllty,settlor and beneficiariesvetc.: Southern 1rust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Dust Company Inc Please intkate 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 (if not the same persons). To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppber of goods or services)': Yes 0 No LI Describe Nature of Entity's Primary Business and Investment Activities This buskiess Is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epsteins personal wealth and invest in different ventures. This company invests in real estate, Nature of the business: equities, cormioditles, etc and gets Its revenue from the gains it makes in these Investments. It 6 a company formed to ingest the assets of Pk. Epsten Countries where business Is transacted: US Virgin Islands Number of employees: 3D. Wealth 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 WealtIVSource of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseLsMabilities): The Pitial funding in February 2013 was $1000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross recelptS pa.(S): 2,000,000.00 Estimated net profit pa. (5): 1,500,000.00 Estimated investable assets('): <$1NM Potential Amount to be invested spth PWM (S): 300,000.00 Other Known Financel Institutions: Institution: )PMorgan Country: USA Est. Assets Under Mgt: 1,000,000.00 Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037675 Ilt t ps://dbforcepb.my.salesforcalNallaEgrNIIIAL000000D9DiSice... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000499 EFTA_00148284 EFTA01282272 KYC Print Page 10 of 14 Institution: I Country: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa I Est. Assets Undo. Mgt I 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 O Foundation/Association O Trust @Company O Estate 2Private Investment O type of Entity Purpose of Entity: ll Partnership Philanthiopk/Chantable O Commercial Purpose of Entity Type of Entity Other (specify): Other (specify): County of US Tight Islands Date of incorporation / 11/18/2011 incorporatim/registration: registration: Volcker Status: Volcker Hag: Address (city, street, part 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. T1WEIN: 66-0779861 code): Provide a description of the era y's organizational structwe, Its ownership structure and its Top Management. For Wits/ oundatbns, include kilometer about revocability,settlor and beneficiariesetc.: Please indicate how ownership of the legal entity Is reflected: O Special attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (rf mg the same persons) To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)': Yes El No 0 Describe Nature of Entity's Primary Business and Investment Activities Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their dents and gets their revenue from the return Nature of the business: of these investments Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets Counties where business is transacted: US Virgin Islands Number of employees: 4 3D. Wealth Profile (Only (or parties requiring source of wealth description as Indicated in Section 2) Primary Country of source of wealthrsource of Funds' Primary industry of source of Wealth/Source of Funds, Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetstiabilities): Consult and invest cent funds and gain revenue based on fees and returns Estimated gross recetts pa.(5): 2,000,000.00 Estimated net trete p.a. (5): 1,500,000.00 Estimated investable assets (5): $2 MM - 5 MM Potential Amount to be Invested Me PWM (5): 300,000.00 Other Known Financial Institutions: institution: IN4argan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037676 https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000500 EFTA_00148285 EFTA01282273 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatArn/Inel PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP qira Rating Comments: Booking Center El offshore VI Moderate CA High Risk Jacqueline Lightbody 12I NY CLI NY/Offshore isk (Complianc Signature) 0 08 Employee 0 DB Managed PIC 0 DB is Trustee/Co-Trustee 0 Bearer Shares 4. Attadunenb A. Type of Photo ID Provided 0 Driver, License 0 Passport 0 National/State ID 0 Other Checklist of names (Individuals and/or entitles) that were submitted for database searches is R. 0 Yes Otto attached C. Please indkate the results of the database searches performed RDC searches complete ®yes 0 No negative results found Oyes 0110 PCR checks complete t•A yes 0 No negative results found 74 Yes 0 No OFAC checks complete 0 Yes • No negative results found ales ®No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, D&B) Oyes ONO negative results found ales 0 No Denial Orders checks complete trA yes 0 No negative results found Oyes 2 No Marty dale-Hubbell searched (Lawyers/Law Hems only) 0 Yes fil No negative results found MI yes • No Please summarize any negative results from the database searches indicated above: Jeffrey Epstein: RDC Alert # I - Cleared & APPROVED by Chip Packard, AM. Compliance, and Pat Harris PCR Alert * 1/2 - Not out dent Al Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case - Not our dere. FINANCIAL INFOMATICS INC: No negative media No court cases I. Epstein & Co. Al Negative Media is our Sent He has been clears of posing a reputational risk as sham by the ANL Clearance attached Court Cases have been closed FINANCIAL TRUST &CO RDC/PCR alert is associated with Southern Financial, the company t merged into. This alert has been cleared by Compliance and is attached Court Cases are closed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 0 yes 0 No To the best of your knowledge, has the customer ever been invotred in any past litigation against Deutsche Bar* AG or any of Its subsidiaries or is the customer threatening litigation against F. Deutsche Bank AG or any of its 'obsidians? (If Yes provide skiaia bdOW and can @ally Mgt Ores R1kb (IstAnYlneVor the Regulatory Cot Group and needy Compliance irnmediately) Does the client or related party have any ftnancle or other association / interactions mein countries o yes @No G. or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the dent or related party have any financial or other association/ interactions within high risk . yes ONo countries? I. Corporate Documentation Attached (Legal Entities Only) /2) Yes 0 No 0 Not Applkable SDNY_GM_00037677 https://dbforcepb.my.salesforcCratNErilDrairdiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000501 EFTA (()148286 EFTA01282274 KYC Print Page 12 of 14 I. Undisclosed Pnncpal Form Corrplete (Intermediaries Only) El yes O No r4 Not Applicable K. II Leds/Neds Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the natureicconterts of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Ores EAtio Is the account structure tewsually complex? O Yes ®No Is there any indication the client set up a non operating company expos* rn for the purpose of transfer nng shares to third parties? Lift @No Is there any indication this could be a prohibked business relationship? II yea ONO Are the bearer shares identified subject to acceptable controls? ayes &I No SDNY_GM_00037678 t ps://dbforcepb.my.salesforcaraNEJIDEschiltiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0000502 EFTA_00148287 EFTA01282275 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Janice Franklin 951113 11:56 API See KYC 1082293 for Senior Business Management's approval to go forward with client adoption process. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Signature) 9/4/2013 Paul Morns Office Director/Business Head: Brian M. Biggar Signature) 9/4/2013 Brian M. Biggar Regan! Mae Director *mount) NIL Business ma (Signature) MIL Compliance: (S4nature) Janke Franklin Janice Franklin 9/5.12013 Jacqueline Ughtbody Jacqueline ughtbaly 9/5/2013 LATAM/INTIMNATIONAL APPROVALS Client Facing Prolevdonal (CEP): (Signature) Account Manage'. (Signature) Global Market Team Head (Signature) G/IIII),Sub-Market Team Head (SM1H) ANL Business Risk: (Signature) AM( Compkv a .• (9190/99re) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: 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 andmaintain business relationships only with persons who satisfy our high standards of suitability, backgroundandcharacter. 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 the part ofthe client(s) and that!havefollowed all the procedures relating to account opening as described in the FIRMAmeneas Procedures and the PIMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers Wealth Advisors, Product Officers, Brokers, Client Managers, etc. SDNY_GM_00037679 https://dbforcepb.my.salesforcaaNtalacriNaliAL000000D9DiSte... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0000503 EF1'A_00148288 EFTA01282276 KYC Print Page 14 of 14 Deutsche Bank Americas New York in I SDNY_GM_00037680 https://dbforcepb.my.salesforcepNErilDrairdiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000504 EFTA_00148289 EFTA01282277