EFTA01283971 - Dataset 10

Extracted Text #

KYC Print Page I of 14
DB PWM GLOBAL KYC/NCA: PART A
KYC Case a : 01195147 Status . 6. Approved
One sheet must be established per relatioosfllp • list all accounts included in the relationshi
1. Relationship Details
Relabonship Name: SOLMIERN FINANCIAL RELATIONSHIP:000004832SO Booking Center: Nov York
Relationship Manager: Paul Morris
• New PWM Relationship O Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relations p exists, provide reason for new profile and attach old profit: Update of
approved KYC 1147850 to add Darren Indyke as an authorized signer. Darren has been approved in KYC #1133377
O Client Referral En RM Prospect O intermediary/PIM • Other Source (CIe, etc.)
How Was the Client(s)
Introduced, How long has the please provide debts (e.g. name of referral source, how many years Rm personally as known client, etc.): Jeffrey Epstein
PM personally known the is a current dient of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a
client" client of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual ftiend/colleague who htroduted them whit Paul was at
JPPlorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank
Don Deutsche Bank pay a O Yes I O No
retrocession a similar
compensation to a third party
for the introduction of this (ft Yes, desenbe)
relationship'
List all Astra and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 2 Mort. Inc 11/12/2013
2 FA Mort, Inc -- Money Market 11/12/2013
Who is the primary contact
person for the RH' (Note:
Preferred method of contact
This person needs to have Harry Beller (212) 971-1308
(indicate phone no, fax no.,
signatory rights and/or
e-mail address, etc.):
information right for the
accounts.):
SONY_GM_OOO39884
https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002708
EF1'A_00150493
EFTA01283971
KYC Print Page 2 of 14
One sheet must be established for each account to be opened
2. Account Menorah p Summary
Account Marne: Mort Inc Acct. Number (if svatA4)
Account Manager: Paul Morris
What a the purpose of the account (e.g. portfolio management, advisory account custody sautes, long-term ilveSthient, PaYmelit/exPelbe
account)' Checking account to hold assets for the company.
Indicate from where the assets are expected to arrtre'
0 DB Group: Same Sooting Center (indicate account number):
0 DB Group: Other Booking Center (indicate CS locabon and account details):
2 Other InstlWtlon (Indicate name & locabon): fl agon. New York
• Physical Deposits (specify cash, securities, cheques, ...):
What b the expected stn and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 10
inflows and oulfbvn per month ranging from $1,000 to $10,000
'Currency I USD
What b the expected volume of assets and currency for the account approx. 90 days after opening' I
150000 'Currency I USD
What s the expected volume of assets and currency for the account approx. one year after opening'
Doeshvil the client have Assets Under Management (Aunt) Within De under Err. 3M' Oyes [0 No
Please list all parties related to the attolint.
For each party:
• Check d a source of wealth description i required for the party.
• Check the appropriate box to describe th relationship of the party to this account (> lean be .,eler.tcd).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other" colurm.
• Always describe the relationship betwee the pantie in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner( ).
_eget .3escriptim AccounWIC Settor of Jitimate 75ignatcry imitecinnancial Significant -egal .3rantor/SetlforfoundincPther
Enbtrof Source Header ChmerTrust/ 3eneficLibr Full POA intermediarysharehoiderkeoresematIve Donor (please
of Wealth Founder of 'me 'OA (FIN) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (Indicate ndicate
related ownership relationship
to this %) between
account parties)
I 0 0 BelR3rIV
ler I 0 • • • • • • • •
2 2 2 In°41 El 00 0 0 00 0 0 0
Jeffrey
3 0 2 Epstein • 0 • [2] 2) • • • • •
Darre m 0 0 •
4 0 0 El 0 0 0 0 0
Indyken
SDNY_GM_00039885
https://dbforeepb.my.salesforeCCINErilEagliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002709
EFTA_00I 50494
EFTA01283972
KYC Print Page 3 of 14
2. Account Ownership Summary
Account Name: Mort, Inc — Money Market Acct. Number (davelahle)
Account Manager: Paul Monis
What is the purpose of the account (e.g. porffollo management, advisory account, custody services, longterm Investment, payment/expense
account)' Money Market account to hold assets for the company and to earn interest
Indicate from where the assets are expected to arrive'
O DB Group: Same Booking Center (indicate account number):
. DB Group: Other Booldng Center (Indicate 06 location and account debits):
74 Other Institution (Indicate name & location): 3PMagan, New York
O Physical Deposits (specify cash, securities, cheques, ...):
What s the expected sae and frequency of regular inflows and outfitters for the account (indicate estimated number and volume per month)': Roughly 1-3
inflows and outflows per month ranging from $1000 to $10,000
'Currency I USD
What 6 the expected volume of assets and currency for the account approx. 90 days after openng7 I
'Currency I USD
What S the expected volume of assets and currency for the account approx. one year after opening' I 5°°°0
Does/wM the client have Assets Under Management (Aunt) %Whin DB under Eur. 3M' O yes O No
Please Nst all pandas related to the account
For each party:
• Check if a source of wealth description i required for the party.
• Check the appropriate box to deuribe th relationsh p of the party to this account (> loan be selected).
• If none of the check boxe apply, describe the party's relation to the account In the *Other" column.
• Alvays describe the relationship betvvee the parbe In the last column.
• Please drill down to the ultimate/underlying Beneficial Owner( ).
.egal Description AccounWIC Settle of Jltlmate rignatory JmIteciFinancial Significant _eget Santor/Settforfoundi • • . -
Entlycf Source Holder OwnerTrust / Beneficlabr Ful 70A IntennedlaneShareholderlepresentative Donor please
of Wealth Founder of Dome POA (FIFO (>=25%) describe
squired soundabon Non-PIC other roles
entity and/or
Parties (indicate ndicate
-elated ownership -elabonship
to this %) Setween
account ladies)
Mort,
1 O 0 Inc 'a • O • O O • O • IN
2 D O "
Beller O OO • El O O O • O
Jeffrey O O
3 O O Epstein r" ❑ O O O O O O O
Darren m O O
4 O CD
Indyke a" ❑ O El O O O • •
SONY_GM_00039886
https://dbforeepb.my.salesforeCCINErilardiA000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002710
EFTA_00150495
EFTA01283973
KYC Print Page 4 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for an parbes)
Individual's Name: Jeffrey Epstein - 00000483289 Date d Birth: 1/20/1953
County of Residence: USVI Country of Citizenship: USA
Has client resided outside of
LAte Saint James Saint Thomas 00802 US Virgil Islands Ins/her country of nabonality O Yes g No
Address of primary residence:
fa S years or more?
Prilessien/Occupatiat Self Empolyed MK ID / SSN: 090-44-3348
Current Employer Southern Financial LLC Position/Mk/Rank: President
Address of employer:
Does the person work as senior execubVe of a DB-recounted regulated entity in the financial
ndustrif or an entity listed on DB-recognised exchange? (Not applicable for operating O Yes ®No
entities
Is the individual a Politically Exposed Person (PEP)?(/ Ye; desoibe) Ora ®tic
To the best of your knowledge, Is the individual related to an employee of the DB group(d • Fargo Opyrendsho Ritor,e
Faintly or Mends/zip, describe)
To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier d goods or El Yes tic
serinces)W Yes,descnbe)
If appkabk, indicate which bank officers have met the Indicate where and when the lent meetng(s took place:
person:
Client Private Client Mace of
Bank Officer flames) Bank Office: Other Location (spixty): Date:
kik: Business:
Paul Mails • O tfa 10/22/2013
O O O
El • O
• Wealth Details for this Individual are net fined in, because they are the same as for the following person:
35. Wealth Malls (Only for parbes requiring sauce of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds?
Primary industry of source of Weakh/Source of Funds'
Summarize Source of Wealth: g Business Owner OSalary/Earnings g Investment 0 Inheritance/Gifts pother:
Further Describe Source of Wealth /Detad the history d weatli for each of the sources: (e.g. For trusts, hoer did settkr accumulate wealth? 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 activities, important business partners.) Epstein began his fnancial career in 1976 as an options trader at Bear Stearns and became a
partneri n 1980. In 1982. Epstein founded his own fnancial management firm, J. Epstein & Co., managing the assets of clients wail more than a billion in net
wen h. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the bland of St. Thomas in the US Virgin Islands. Al
of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His weati has come from his days at Bear Stearns and his financial
management firms
Estimated Annual Income($): 10,000,000.00 Estinated amount of investable assets(S): $50 141 - 100 MM
Estimated Net Worth($): $100 MM - 500 Mk Amount of assets planned to invest with PO M($):
Other Known Financial Institutions:
SDNY_GM_00039887
https://dbforeepb.my.salesforeCLINErilEtaliliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002711
EFTA_00150496
EFTA01283974
KYC Print Page 5 of 14
J
Insteubor Country: Est Assets Under Mgt:
Instrtutxri: Country: Est Assets Under Mgt:
Instrtuticti: Country: Est Assets Under Mgt:
Please Indkate the family situation of the Individual (marital status, ether fan* members, etc.):
SDNY_GM_00039888
Imps://dbforcepb.my.salesforcCLINEJIDairdLAIL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002712
EFTA_00150497
EFTA01283975
KYC Print Page 6 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Harry Beller - 00000497202 Date of Bit: 519/1956
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
12 &tar Drive Monsey NY 10952 USA his/her country of nationality [D yes RI No
Address of primary rekklenCe:
fcr 5 years or more.
Professlon/Occupation: Accountant Tax ID/ SSN: 081-S2-0727
Current Employer: HBRK Associates, Inc Position/Me/Rank
Address 41employer:
Does the person work as senior executive et a DB-recognized regulated entity in the financial
Mosby' or an entity listed on DB-recognised exchange 7 (clot applicable for operating Dyes EZ No
entitles
Is the individual a Politically Exposed Person (PEP)7(# yes, &sots) Oyes ®No
To the best of your knowledge, is the kelMdual related to an employee of the 00 groupf(f OFamly ElFriendship 5 None
Family of Friendship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relabenshlp with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier d goods or Ores Irf No
senixes), (6 Yes,describe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Prrvate Client Place 0 Other
Bank Officer 'la me(s) Bank Office:
Domicile: Business:
Location (specify): Date:
Paul Morris • O 71 itrai2013
[1 • ri
ri • a
O Wealth Details for this individual are not filled In, because they are the same as for the fon:wing person:
30. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature el the IndividualS Business:
Primary Country of source of wealth/source of Funds'
Primary Industry of source of Wealth/Source of Funds'
Summarize Source of Wealth: • Business Omer O Salary/Earnings • Investment OInisentance/Gtits • Other:
Further Describe Source of Wealth /Delis the history of wrath for each of the sources: (e.g. For trust how did settler accumulate wealth? For inheritance,
how did family accumulate we Itit'For business owners, how long In business, how many employees, level of profitability' Indicate type of business,
countries of major actMties, Important business partners)
Estimated Annual Income($): Estimated amount of investable assets(9)
Estimated Net Worth($): Amount of assets planned to invest with PWM(S):
Other Known nancial Institutions:
Institution: Country. Est Assets Under Mgt:
Institution: Country. Est Assets Under Mgt:
SDNY_GM_00039889
https://dbforcepb.my.salesforCCINBILardiAlL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002713
EFTA_00150498
EFTA01283976
KYC Print Page 7 of 14
Dishlotto: Country: Est Asset Under Mot:
Please ',dice the family situabon of the individual (marital status, other famty members, etc.):
SDNY_GM_00039890
https://dbforcepb.my.salesforCCINEJIDEsILIIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002714
EFTA_00150499
EFTA01283977
KYC Print Page 8 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3k Individual Details (for an parties)
Individual's Name: Darren 1ndyke - 00000486405 Date of Birth. 2/19/1965
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
2 Kean Court Livingston Ni 07039 USA his/her country of nabonality Oyes ONo
Address of primary residence.
fix. 5 years or more
RrofesoortiOccupabon: Lawyer Tax ID/ SSN: 096.5443596
Current Employer: Southern Financial LLC Position/Me/Rank .
Address of employer: 575 Lexington Ave, 4th A New York NY USA 10022
Does the person work as senior executke of a DB-recognised regulated entity in the financial
ndustry' or an enbty listed on DB-recognised exchange' (Not applicable for operating Ores ®No
entities
Is the individual a Politically Exposed Person (PEP), (it Yes, describe) OTOS Eno
To the best of your knowledge, Is the kickvklual related to an employee of the 06 count(d O Fan* ElFrtendshlp rA None
Family of friendship, desentte)
To the best of your knowledge, is the norridual party to a non-banking relancosho with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes No
services)?ff Yes/describe)
If applicable, Indicate which bank officers have met the Indicate where and when the client meet:bu(s took place:
person:
Client Private Client Place of
Bank Officer flames) Bank Office: Other Location (specify): Date:
Domicile. Business:
• O i_i
El El r,
ri
:._, S CI
El Wealth Details for this Individual are not tilled In, because they are the same as for the folkyning person:
35. Wealth Details (Only for parties requinng source of wealth description as 'indicated in Section 2)
Nature d the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summadze Source of Wealth: • Business Owner O Salary/Earnings • Investment O Inhergence/Gifts ['Other:
Further Describe Source of Wealth /Detail the history ce wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For Mergence,
how did family accumulate we IthiFcr business owners, how long In business, how many employees, level of profitability? Indicate type of business,
counties of major activitks, important business partners.)
Estimated Annual 1ncome($): Estimated amount of investable assets($):
Estimated Net Worth(S): Amount of assets planned to Invest with PWH(;):
Other Known nand.' Institutions:
Insbtuticri: Country: Est. Assets Under Mgt:
Instrbsticri: Country: Est Assets Under Mgt:
SDNY_GM_00039891
hups://dbforcepb.my.salesforcCaNtErlIDEschilidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002715
EF1'A_00150500
EFTA01283978
KYC Print Page 9 of 14
Instclution Country: Est Asset Under tlgt:
Please inchcat the family situation of the individual (martal status, other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name Mort Inc . 00000437266
Li Foundabon/Asscoabon O Trust R Company El Estate Purpose of Entity: bli Pr tvate Investment Ell
Type of Entity:
PhilanthropkiCharltable 0
O Partnership
Commercial
Type of Entity Other Purpose of Entity
(specIfy): Other (specify):
Date of
Country ef u.SVI 4;12/2011
incorporation /
incorporatIon/registratkin: registration:
volckn Status: Volcker Rag:
Address (city, street, post 6100 Red Hook Quarter, 83 St. Thomas 00802 USVI US. TIN/EIN: 66-0765963
code):
Provide a description of the entity's organizational structure, th ownership structure and its Top Management. For trusts/foundations, include information
about revocablIty,settior and beneficiaries,etc :
Corporation With 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner.
Please Indicate how ownership of the legal entity is reflected:
0 Special attention: Bearer Shares - Indicate ‘where 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 et your knowledge, Is the entity party to a nombanking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes O No Ed
services)':
Describe Nature of Entity's Primary Business and Investment Activities
Investment holding company. A prtvate company that b used to hold investements that the
Nature of the business:
/sole owner, Jeffrey, would like to keep separate from other Investments
Countries where busness is transacted: USVI
Number of employees 2
3D. Wealth Profile (Only for parties 'clueing source of wealth description as indicated in Section 2)
Primary Country of source of weal:II/source of Funds'
Pnmary industry of source et Wealth/Source of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Capital contra:m[4m of 51000 from Jeffrey Epstein
Estimated gross receipts p.a.(5):
Estimated net profit p.a. ($):
Estimated Investable asses (5): <$1 MM
Potential Amount to be invested with PWM (S): 100.000.00
Other Known Financial Institutions:
InstRutko 1Pflorgan Country: USA Est. Assets Under Mgt: 100,000.00
Institut:km: Country: Est. Assets Under Mgt:
SDNY_GM_00039892
ht tps://dbforcepb.my.salesforcaaNalaFgrialliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002716
EF1'A_00150501
EFTA01283979
KYC Print Page 10 of 14
I
Institutim I
Canby: eit Assets tinder r49t
SDNY_GM_00039893
https://dbforcepb.my.salesforCCINErilli.aidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002717
EFTA_00150502
EFTA01283980
KYC Print Page I I of 14
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUDERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
0
Booking Center Si NY
NY/Offshore
E Offshore Risk Wderate
D R ligh Riski3acueline Lightiody
(Compliance Signature)
0 De Employee 0 CS Managed PIC • DB is Trustee/Co-Trustee 0 Bearer Shares
4. Attachments
A. Type of Photo ID Provided 0 Drivers License E7 Passport 0 National/State ID 0 Other
Cheddist of names (individuals and/or entities) that were submitted for database searches is
B. 10 Yes • No
attached
C. Please indicate the results of the database searches performed
RDC searches complete RI Yes 0 No negative results found 2 yes • No
PCR checks complete 2 Yes 0 No negative results found El yes • No
OFAC checks complete ®Yes 0 No negative results found 0 Yes 0No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DAB) I21Yes • No negative results found • Yes No
Denial Orders checks complete El Yes 0 No negative results found 0 Yes 0 No
Martindale-Hubbell searched (LawyersAaw Firms only) 0 Yes El No negative results found Oyes • No
Please summarize any negative results from the database searches indicated above: DARREN INDYKE:
KYC approved in case #1133377
JEFFREY EPSTEIN:
Kit Approved and al pertaining documents in case #:1121718 and 01082293
D
' HARRY BELLER:
KYC approved in case 1:01133377 and 01133624
MCAT INC:
All negative media does not pertain to our client.
All court cases do not pertain to our client
E. To the best of your knovdedge, has the client ever been convicted of a criminal offense? 2 Yes • No
To the best of your knowledge, has the customer ever been 'mind Many past litigation against
Deutsche Bank AG or any of Ps subsidiaries or is the customer threatening litigation against
F.
Deutsche Bank AG or any of Its subsidiaries? (If Yes, growth, *tads baby and contad Quaaty 0 Yes RI No
Mgt. (LatAm/Int7) ache Regulatwy Control Group am/ nobly Compaanc• immethitery)
Does the client or related party have any financial or other association / Interactions within
G.
counties or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes J No
H. Does the client or rated party have any financial or other association/ interactons within high •—•
risk countries? U Yes RI No
I. Corporate Documentation Attached (Legal enunes Only) 0 Yes • No • Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes • No 4 Not Apptcabk
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special fthk Factors
Does the account have Nexus to Special Risk Counties? 0 Yes 12 No
Is the account structure unusually complex?
SDNY_GM_00039894
https://dbforcepb.my.salesforcCLINErilDnEgelardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002718
EFTA_00150503
EFTA01283981
KYC Print Page 12 of 14
0 yes No
Is there any indication the docent set up a non operating company
expressly for the purpose et transfernng shares to third parbes? 0 yes No
Is there any indication this could be a prohibited business relationship? O Yes RiNo
Are the bearer shares Identified subject to acceptable controls, O Yes RINo
SONY_GM_00039895
https://dbforcepb.my.salesforeCCINErilDEgrNinliA000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002719
EFTA 00150504
EFTA01283982
KYC Print Page 13 of 14
M. Case Comments
Created By Date Comments
1 page of DB Certificate of LLC Resolubon vath the 2nd that did not hit all signers, is acceptable. The only
iiegisine LIghtbody 3/14/114 3: 12 PM evision was the 2nd page with the correct signers that is attached separately.
ONSHORE APPROVALS
Client Fecal() Professional (CFP): Paul Morns ,Signature) 2;2412014
',lot Moms
Office Director/Business Head: Brian M. Biggar (Signature) 212412014
Brian M Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Sgnalvre)
AK Compliance:
(Signature)
Gwen Hill o/b/o Janice Franklin Gwen NI o/b/o Janice Franklin 3/14/2014
Jacqueline Lightborly Jacquelne Lirbody 3/14/2014
LATAM/INTERNAT1ONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Mead (Signature)
rS
i4TH)/Sub-Market Team Head
MTH):
AML Business Risk:
(Signature)
AML Conwllance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(PWAD worldwide is committed to professionally serve the interests ofits clients. To do so. Client Facing
ProfessionalsI(I) (CFP's) should establish andmaintain business relationships only withpersons who satisfy our
high standards ofsuitability. backgroundand character. Due diligence obtained on the client must be appropriately
documentedby 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 andbeliefthe above
information is correct and up to date. I confirm that!have no suspicions relating to the money laundering or
unethical activities on thepart ofthe clients) and that I havefollowedall the procedures relating to account opening
as describedin the PWMAmericas Procedures and the PWMGlobal KYC Policy
SDNY_GM_00039896
https://dbforcepb.my.salesforcaaNEIDEgrit\lidiAL000000D9DiSice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002720
EF1'A_00150505
EFTA01283983
KYC Print Page 14 of 14
(1) Client Facing Professionals (CFP 's) include: Relationship Managers. Wealth Advisors, Product Officers.
Brokers, Client Managers. etc.
Deutsche Bank Americas New York rA
SDNY_GM_000391197
https://dbforcepb.my.salesforCCINEJIDULTdiA110000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002721
EFTA_00150506
EFTA01283984

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