EFTA01284096
Dataset 10 · 16 pages · 1.4 MB · 5,189 words
Extracted Images (16) #
People (6) #
Extracted Text #
KY(' Print Page I of 16
OB PWM GLOBAL KYC/NCA: PART A
KYC Case r Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
I. Relationship Details
Relationship Nallle' SOUT14ERN FINANCIAL RELATIONSHIP:00030183290 a-mating Center Mar 'kirk
Relationship Manager: Stewart Oldfiekl
• New PWM Relationship 12 Existing PWM Relationship
Relationship to PALM:
II tasting, please indicate since when the relationship enists, provide mason for new profit and attach old profit:
g Client Referral El RM Prospect O Intermediary/FM O Other Source (ae, etc.)
How Was the Chent(s)
Introduced) How long has the Please provide detail. (e.g. name of referral source, how many years RM personally has k own client, etc.): Jeffrey Epstein
RM personally known the dent' (President of Gratitude
Arnerka) Is a current client of the bank. He and Darren Indyke rea hed out to Stew CONS on 12/23/2016 to
open a checking account for es newest entity, Prytanee LLC
Does Deutsche Bank pay a O yes I g No
retrocession or similar
compensation to a third pad
lot the introduction of this /7/ Yes, desotte):
rNationshipo
Int all existing and new accounts Invoked In this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Accomt(s)
I 2 Prytanee, LLC - Deposit 1/6/2017
Who is he primary contact
person or the RH, (Note: This Darrea, laayke Preferred method of contact
person zeds to have signatory (indicate phone no., fax no.,
rights and/or information right email address, etc.):
for the (counts.):
SDNY_GM_00040009
hups://dbforcepb.my.salesforCCINBIDaiLIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002833
EF1'A_00150618
EFTA01284096
KYC Print Page 2 of 16
Ose sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Prytanee, LLC • Deposit Acct. Number (if available)
Account Manager: stewed °killed
What is the purpose of the account (e.g. portfoho management, advisory account, custody services, bng.tenn investment, ownwriVexPerise account)? the purpose of
this account is to managing the monthly expenses of the company
Indicate Iron, where the assets are expected to ante?
ID DB Group: Same Booking Center (indicate account number): 35269691
• DB Group: Other Booking Center (Indicate DB location and account dMalis):
El Other Institution - (Indicate name 8. location):
• Physical Deposits (witty cash, securities, cheques, ...):
What is the expected site and frequency of regular Inflows and outflows for the account (indicate estimated number and volume per month)?: 0-5 Infbws/oudlows
between 100k to 500t on a monthly basis
I 1000000 I Currency I usd
What is the expected volume of assets and currency for the account approx. 90 days after opening?
1 1000000 (Currency I usd
What is the expected volume of assets and currency for the account approx. one year after opening?
Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? •Yes Rho
Please list all parties related to the account.
For each party:
• Check if a source of wealth escription is required for the pad.
• Check the appropriate box to describe the relationship of the party to this account (5 1can be selected).
• I non of the check boxes poly, describe the party's relation to the account in the 'Other cola rm.
• Aiways describe the relationship between t e parties in the last dint
• Please dm down to the ultirnathunderlyln Beneficial Owner(s).
egal7escliption Account PIC Senior of Jitirnate Signatory OrnitertFinancial Significant _eget .Iaantor/Settioti
onding
;
antilyof Source Molder OrnierTrust / Beneficial x Ful ?OA Intermedlaryparehollerlepresentative or
of Wealth Founder of Owner POA (Fill) k>=25%) °Mei (Please
equired Foundation Non-PIC maitre other
Parties entity des and/or
related to (indicate Indicate
this ownershp elahmship
account %) between parties)
1 2] D "' I'D
LLC O O O O O O O O O
Southern
Trust
2 J 2 Company, ❑r--I
l—i O • O • O O 50 O O •
Inc.
The
3 2 D ',acme O O O O • O O so O O O
Trust
sole shareholder
of Southern Trust
Company,
2 Jeffrey O O O O O Li O ix 080 of
O
Epstein 0 E] ■ 5outhen Trust
Company, Inc.
which owns 50%
of account holder;
Darren O • O
5 O O Indyke ❑ O El O O • O O
Grantor/rine<
1 The Pierre
Caroline Trust;GrantortUBO
6 O El Sul)"
Ca mile O O • 121 2 O O O O Ei 1 The Pierre Trust
thkh own' 50%
Lang
if the account
solder,
Etienne
7 • O nerre O O O O • O
Nan
I
O O O
Binant
SDNY_GM_00040010
https://dbforcepb.my.salesforeC6CINErilEtairdiA000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002834
EFTA_001508I9
EFTA01284097
KYC Print Page 3 of 16
SDNY_GM_00040011
Imps://dbforcepb.my.salesforCCINEIDESITAL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002835
EFTA_00150620
EFTA01284098
KYC Print Page 4 of 16
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
1A. Individual Details (for all patties)
Individual's Name: Jeffrey Epstein Date of Beth: 1:10,:1953
Country of Residence: USYI Country of Cairensbe: USA
um client resided outside of
Lute Saint James Saint Thomas 00802 hnher country of nationality for O yes Wj pie
Address of primary residence:
5 years or more'
Profession/Occupation: Self Empolyed Tax ID / WI:
Current Employer: Southern Financial UAL Possionfiefe/Rank: President
Address of employer: 6100 Red Hook Quarter B) St. Thomas United States 00802
Does the person work es sell ier executive of a DB•recognired regulated entity in the financial
ndustry, or an entky listed on a Cerecognised exchange' (Not applicabk for operating entities O Yes JIlo
Is the individual a Politically Exposed Person (PEP)'(at Yea. describe) ales 2 Ho
To the best of your knowledge, is the individual related to an employee of the DB grorreT(YWY Ofamily • Friendship EINone
or Aknefstgo, desenbe )
To the best of your knowledge, is the Individual party to a norebanking relationship with Deutsche O ya 2
Bank (e.g., edema' legal counsel, client referral source, suppler of goods or services)2(d No
Yesidesalbe)
Indicate where and when the dent meetings) took place:
If applicable, Indicate whkh bank officers have met the persco:
Client Private Gent Place of
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
Domicile: Business:
El IN O
O O El
El O O
C3 Weekh Details for this individual are not filled in, because they ere the same as for the foil:ming person:
38. Wealth Details (Only for oodles requiring source of weS.h description as indicated in Section 2)
Nature of the Individual's Business: Prhate investments
Primary Country of source of wealth/some of Funds'
Pli Ma rf indusby of source of Wealth/Source of Funds?
Summarize Source of Wealth: aBuskins Owner O Salary/Earnings I? Investment O Inheritance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, lion did senior accumulate wealth? For Inheritance, how did
!Family accumulate wealthtFor 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 as an options trader at Bear Steams and became a partneri n 1980. In 1982,
Epstein founded his own financial management Inn, 1. Epstein & Co., managing the assets of dents with more than a billion in net worth. In 1996, Epstein changed
the name of his (inn to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the
very wealthy businessman Leslie %Vesper. His wealth has come from his days at Bear Stearns and his financial management lions
F cireated Annual Income($): 10,000,000.00 I swotted amount of investable essets(g): $50 MM • 100 MN
Estimated Net Worth(S): 5500 MM • Amount of assets planned to invest with POIM(S):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00040012
littps://dbforcepb.my.salesforcCaNEJIDairdiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002836
EF1'A_00150621
EFTA01284099
KYC Print Page 5 of 16
I Please indkate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00040013
Imps://dbforcepb.my.salesforcCCINEJIQUirdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002837
EFTA_00150622
EFTA01284100
KYC Print Page 6 of 16
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Darren Indyke 000004436405 Date of tsrth:
Country of Residence: USA Country of Caireinbc: LISA
tias client resided outside of
his,Ner country of nationality for O yes RI fig
Address of primary residence:
S years or more'
Profession/Occupation: tawver lax ID / $91:
Current Employer: Southern financial LLC Position/TO/Rant
Address of employer
Does the person work es senior xethtive ol a DE -recognized regulated coley in the financial
fidustry, or an entity listed on a 06-recognised exchange' (Not applicable for operating entities ii Yes RN°
Is the mdrvidual a Politically Exposed Person (PEP)'(a Yek describe) OYes 0 No
To the best of your knowledge, Is the individual related to an employee of the DEI grin/PO/Pan* Ofamay • Friendship ]None
or Riendship, describe)
To the best of your knowledge, is the individual party to a norebanking relationship with Deutsche o yes O No
Bank (e.g., enema' legal counsel, client referral source, suppler of goods a services), (1,
Yesi describe)
Indicate where and when the dent meeting(s) toot place:
If apps table, indicate which bank officers have met the person:
Client Private C fent Place of
Bank Officer Nemeth) Bank Office: Other location (specify): Date:
Domicile: Busine
simian oidlield R n O 12/23/2016
El CD El
O O O
O Wealth Comet for this individual are not filled In, because they are the same as for the loll:ming person:
38. Wealth Details (Only La parties requiring source of wealth description as Indicated in Section 2)
Nature ol the Indwiduars Business:
Primary Country of source of wealth/sourte of Funds'
Primary Industry of source of Wealth/Source of Funds!
Summarize Source of Wealth: O Business Owner O Salary/Ea ming; O Investment O Inhedtance/Glfts O Other:
further Describe Source c4Weakh /Deli the history of wealth for each of the sources: (e.g. For trusts, bow did senior accumulate we Rh' For inheritance, how did
l amity accumulate wealth'For bu iness owners, how long in business, hod many employees, level of profitability? Indicate type of business, countries of major
Nth/Kies, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets(S):
Estimated Net Worth(f): Amount of assets planned to invest with fAVM(S):
Other Known Financial Institutions -
Institution: Country. Est. Assets Under Elgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indx ate he family situation of the indrodual (marital status, other f miry members, etc.):
SONY_GM_00040014
ps://dbforcepb.my.salesforcCUNEJIDailidiAL000000D9Di&e... 7/30/2019
ht t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002838
EF1'A_00150623
EFTA01284101
KYC Print Page 7 of 16
SONY_GM_00040015
Imps://dbforcepb.my.salesforcCLINEJIDEIlidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002839
EF1'A_00150624
EFTA01284102
KYC Print Page 8 of 16
One sheet mud be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Sammy
1A. Individual Details (for all parties)
Individuals Name: Caroline Sophie Camille Lang Date of Birth:
Country of Residence: France Country of Citizenship: France
Has client resided outside of
Address of primary residence: hisiber country of nationality for Dyes W No
5 years or more'
Profession;Occupation: Contemporary Art Tax ID / WI:
Current Employer: Sothebys Position/Eck/Rank: Chairman
Address of employer: United States
Does the person work as senior executive of a DB•recognired regulated entity in the financial
nthistry, or an entity listed on a DB•recogneed exchange' (Not applicabk for operating entities 0 Yes Rho
Is the individual a Politically Exposed Person (PEP)"(Y Yet rfaatze) 0Yes ®No
To the best of your knowledge, is the individual related to an employee of the DEI group, elFamily Openly • Friendship EINone
or bkorferip, dente)
To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche (Dye, 0 No
Bank (e.g., external legal counsel, client referral source, suppler of goods a servicesP(if
Yes,describe)
Indicate where and when the dent meetings) took place:
If appltable, indicate which bank officers have met the person:
Client Private Cleat Place of
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
Domicile: Business:
0 • 0
O O O
0 0 0
ElWealth Decals for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individuas Business: Attorney
Primary Country of source of wealth/source cl Funds"
Primary industry of source of WealtIVSourte of Funds?
Summarize Source of Wealth: 0 Business Owner 2 Salary/Earnings 2 Investment 0 Inheritance/Gifts 0 Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how did
family accumulate wealth/For business owners, how long in business, how many employees, Set of profitability' Indicate type of business, countries of major
activities, important business partners.) The source of wealth for Carohne Lang derives hoer her employment as Chairman of Sotheby's Switzerlamd. Caroline Lang is
internationally recognized for her in-depth knowledge of the art market and her longstanding expertise in Impressionist, Modern and Contemporary art. Appointed
Chairman of the Swiss Departed t of Impressionist, Modem & Contemporary Art In 2012, this consummate polyglot has advised same of the most important collectors
in Switzerland and worldwide. In November 2011, she played a decisive role n the New York sale of Abstraction-flguratkin, an exceptional private collection of abstract
works by Gerhard Richter and It x Ernst which realized a world auction record for a work by Richter at the tine. Caroine Lang has also conducted major marathon
auctions In Switzerland, the UK a d Germany, including the hStoric weeklong sales of works of art from Monrepos Castle in Ludwigsburg in 2000 and the Royal House
of Hanover in 2005. Ms Lang also serves as an executive for Warner Brothers Inc,.Her annual locoed is approx. 450k.
Estimated Annual Income(S): 450,001.00 Estimated amount of investable assets($): SI MM - 2 MM
Estimated Net Worth(S): SI MM • 2 MM Amount of assets planned to Invest WM MH(S):
Other Known Financial Institutions:
Institution: (Country: ESt. Abets Under Mgt: I
Institution: Country: Est. Assets Under Mgt:
SONY_GM_00040016
ht t ps://dbforcepb.my.salesforca:tNEIDErlailiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002840
EFTA_00150625
EFTA01284103
KYC Print Page 9 of 16
Institution: Country: ESL Mae Under Hit
Please indicate the family situation of the indrviclual (marital status, other I mlly members, etc.):
SDNY_GM_00040017
littps://dbforcepb.my.salesforcCLINEJIDEArdiAL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002841
EFTA_00150626
EFTA01284104
KYC Print Page 10 of 16
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summary
3k Individual Details (for all parties)
Individual's Name: Etienne Pierre Jean Binant - Date of Binh:
Country of Residence: France Country of Cilizendlgr France
Has client resided outside of
hIsrber country of n ationa lay for Dyes W No
Address of primary residence:
5 years or more'
ProfessliontOmpaBon: Finance Tax ID / 55/E:
Current Employer: Prytanee LIC Poston/Tile/Rank: Manager
Address of employer:
Does the person week as Sonia executive of a DB'recognired regulated entity in the Financial
ndustry, or an entity listed on a DB-recognised exchange' (Not applicable for operating entities • Yes giro
Is the individual a Politically Exposed PPrial (PEP)'Of Yes, Menisci OYes @No
To the best of your knowledge, is the individual related to an employee of the DB drool:RW/5cm* O Fem./ • Friendship El None
or Mends* describe)
To the best of your knowledge, Is the individual party to a non-bankeg relationship with Deutsche ova EA
Bank (e.g., edema legal counsel, client referral source, suppler of goods a servicesPia
es No
Yes,describe)
Indicate where and when the dent meetIng(s) took place:
If applicable, Indicate whkh bank officers have met the parson:
Client Private Client Plate of
Bank Officer Name(s) Bank Office: Other Location (specify): Date:
Domicile: Business:
CI in O
O O O
O O O
C3 Weekh Details for this individual are not filled in, because they are the same as for the follovang person:
313. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2)
Nature of the Indrecluars Business:
Primary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: O Business Owner O SaarY/Earnings O Investment O Inheritance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate we Rh' For Inheritance, how did
family accumulate swath/For bu iness owners, how long in business, how many employees, level of prollability" Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets(s):
Estimated Net Worth(f ): Amount of assets planned to invest wall MRS):
Other Known Financial Institutions:
Institution: Country. Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country. Est. Assets Under Mgt:
Please indx ate he family situation of the individual (marital status, other f may members, etc.):
SONY_GM_00040018
Imps://dbforcepb.my.salesforcCUNEJIDErlarditiM0000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002842
EFTA_00150627
EFTA01284105
KYC Print Page 11 of 16
One sheet most be established for EACH LEGAL ENTITY in Section 2. Account Mammary
3C. Legal Emily Details (For all legal Entities)
Legal Entity Name: Prytanee, LLC . 00000550868
• Foundation/Association O Trust ®Company O Estate 0 notate investment O
Type of Entty: Purpose of Entity:
O Partnership PhiallaimPic/Charltabk OCominercial
LLC Purpose of Entity Other
Type of Entity Other (specify):
(specify):
Country of USVI Date of inorporatker / 7/22/2016
incorporation/registration: registration:
Determination Reouired No
Volcker Status: Vokker Flag:
Address (Ply, street, post 6100 Red Hook Quarter B3 St Thomas 00802 United States U.S. TINEEIN: 66-0865925
code):
Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. for trusttlfoundatians, include information about
retrcablitY,Settior and benefiaanesetc.:
This entity es owned 93/50 by Southern Trust Company Inc aimed by Jeffrey Epstein and The Pierre Trust In which Caroline Lang is the grantor. Etienne [tenant is the
manager of the company. Jeffrey and Caroline share the same affinity for art and decided to become partners investing in artwork from up and coming artists together.
l' hey both invest equaly In the purchases of the artwork.
The signatories on this account will be:
Jeffrey Epstein
Damen Inchte
Caroline Lang
Etienne Binant
Please indicate how ownership of the legal entity is reflected: LLC Agreement
O Special attention: Bearer Shares • Indicate inhere shares are custodied:
of
Describe the chain from the direct owner of the entity to the ultimate beneficial owner not tie same pawns,. This entity is owned 50/50 by Southern Trust
Company Inc owned by Jeffrey Epstein and The Pierre Trust in which Caroline Lang Is the grantor. Etienne Binant is the manager of the company. Jeffrey and Caroline
share the same affinity for art and decided to become partners nesting n artwork from up and writing artists together. They both invest equally in the purchases of
the artwork
The signatories on this account will be:
Jeffrey Epstein
Darren lndyke
Caroline Lang
nne (Tenant
To the best of your knowledge, is the entity party to a non-banking relationshg with Deutsche Bank tin
(e.g. external legal counsel, cknt referral source, supplier of gools or servkesp: Yes O No 121
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: investment in artwork of up and coining artists
Counties where business is transacted: USVI;Global
Number of employees: 3+
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 WealthrSource of funds>
Provide Evidence of Corporate ASSets (e.g. balance sheet or eq Nalent womary of assets/Whales):
The source of wealth for this entity primarily comes from Jeffrey Epstein and Caroline Lang. Please revert to their individual sources el wealth for more deals.
Estimated gross receipts P.a.(5): 1,000,030.00
Estimated net profit p.a. (5): 1,000,000.00
Estimated investable assets (5): 31MM - 2 MM
Potential Amount to be invested with PWM (5):
Other Known Financial Institutions:
SDNY_GM_00040019
https://dbforcepb.Illy.salesforeCCINErilDairdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002843
EFTA_00I 50628
EFTA01284106
KYC Print Page 12 of 16
Institution: Country: Est. Assets Under Mgt
Institution: Country: Est. Assets Under Mgt
Institution: Country: Est. Assets Under Mgt:
One 'Ant mutt he nlablielsed far FAIN. LEGAL PPETITY in tertian 2 Az-taunt Summar,
3C. Legal Entity Detaib (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. • 00000483883
Type of Entity:
• Foundation/Association O Trust RI Company O Estate Rimed of Entity:
0 Nitrate Investment O
• Partnership Philanthrope/Charitable O Commercial
PurPOte of Entity Other
Type of Entity Other (specify):
(sPecify):
Country of US Virgin Islands Date of Inconwatico / 1l/18/2011
incorporation/registrabon: registration:
Determinatice Required Vokker Flag: No
Volcker Status:
AddreSt (city, greet, post 6100 Red Hook Quarter 53 SI Thomas, USW 00802 United States U.S. TINA IN: 66.0779861
code):
Provide a description of the entity's organizational structure, ifs ownership structure and its Top Management. For trusts/foundations, include information about
revocablity,settior and benefkbrieseett:
Jeffrey Epstein is the sole shareholder of Southern Trust
Please indkate how ownership of the legal entity Is reflected:
O Special attention: Bearer Shares - Indicate where that are caste/died:
Describe the Chain from the direct owner of the entity to the ultknate beneficial owner "not me same persons). Jeffrey Epstein is the sole shareholder of Southern
Trust
To the best of your knowledge, is the eMIty party to a nonbanking relaticosh0 with Deutsche Bank rrn
(e.g. external legal counsel, dent referral sourte, supplier of goods cc wrvicesp: YesLJ No Fa
Describe Nadia of Entity's Primary Basisess and lavestnieat Activities
Nature of the business: Consult and Invest dent funds and gain revenue based on fees and returns
Counties where business is transacted: US Virgin Islands
Number of employees: 4
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated ki 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 assets/liabilities):
Candela 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 S these investments. Southern Trust invests in different portfolios catered to thek clients and makes their revenue based on the returns and
the fees associated with managing their clients assets
EsUmated gross receipts PACS): 2,000,000.00
Estimated net profit p.a. (3): 1,500,000.00
Estimated investable assets ($): $2 MN - 5 MM
Potentgl Amount to be invested with FWM (3):
Other Known Fiends' Institutions:
Institution: rib Country: use Est. Assets Under Mgt:
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
SONY_GM_00040020
https://dbforcepb.my.salesforCLINErilDnEgrialliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002844
EFTA_00I 50629
EFTA01284107
KYC Print Page 13 of 16
Legal Entity flame: The Rene Trust -
Type of Entity:
Li Foundation/Association M Trust D Company El Estate Purpose of Entity:
0 nodal. Investment O
LT1Partnership Philanthropic/Charitable Elammerclal
Purposed Entity Other
TYPe of Entty Other (specify): (SPeCIfy):
Country of USVI Date of incorporation / 11/21/2016
intorporadentrecrisitation, registration:
Determination Required No
Voider Status: Vokker flag:
Address (city, street, post U.S. 'MEIN:
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about
revocability,settior and beneficiaries,etc.:
Grantodfrustee/beneficiary: Cardne Lang residing at 3 Rue Du Vieux Colornbkv 75006 Paris 06 France.
taroline Lang is beneficiary during her laetrile. Upon her death, her children become the beneficiaries:Anna lea Ovire Laik and Rebecca Zoe Berth° Lail both residing
at 3 Rue Du Vieux Cdombier 75006 Paris 06 France.
Please indicate how ownership of the legal entity Is reflected: trust agreement
O Special attention: Bearer Shares . Indicate %tete shares are cuslode4
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (itnot the same persons). Grantee/trustee/beneficiary: Caroline tang residing at
3 Rue Du Vieux Colornbier 75006 Pads 06 France.
Caroline Lang is beneficiary during her lifetime. Upon her death, her children become the beneficiaries:Anna Lea Ehire Laic and Rebecca Zoe Berth° talk both residing
at 3 Rue Du Vieux Cokamlner /5006 Paris 06 France.
To the best of your knonledge, is the entity party to a non-banking relationsher with Deutsche Bank
(e.g. edema' legal counsel, client referral source, supplier of goods or sender-Pi Yes CI No El
Describe Nature of Entity's Primary SeaMen and Investment ActMtles
Nature of the business: trust
Countries Mitre business is transacted: USVI;Global
Number of employees: 0
3D. Wealth Profile (Onty for akin requiring source al wealth description at indicated in Section 1)
Primary Country of source of wealth/source of Funds,'
Primary industry of source of WealdiSoune of Funds/
Provide Evidence of Corporate Assets (e.g. balance sheet or eq nalent summary of assetsbablities):
The source of wealth for this trust derives from Caroline Lang. Please revert to her source of wraith for more details.
Estimated gross receipts Pa (S): 1,000,000.00
Estimated net profit p.a. (S): 1,003,000.00
Estimated investable assets (S): SI MM 2 MM
Potential Amount to be invested with PAIR (6):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country. Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/Laffirn/Intl PART B
telitionshp Name SOUTHERN FINANCIAL RIRATI0f6HW
tisk Rating Comments:
looking Center O Moderate Yoonsun Chung
2 NY O NY/Offshore O Offshore 2 High Risk
NW
(Compliance Signature)
MI DO Employee O De Managed PIC ODE is Truslee/Co-Trustee O Bearer Shares
4. Attachmeob
A. Type of Photo ID Provided O Driven License A Passport • National/State ID 00thee
B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached ®yes O rio
C. Please Indicate the results of the database searches performed
ROC searches complete ®Yes O No negative results found O Yes ®No
KR checks complete ®Yes O *3 negative results found Ores ®No
OFAC checks complete 2 Yes O No negative results found Ores END
BIS searches complete (lexisiticsiK, Factiva, Reuters, Dow lone., 088) WI ye O No negate/. results found Oyes ONO
Denial Orders checks complete ®yes O No negative results found Dyes 21N0
HartindaleHubbel searched (Lawyers/Law Firms only) Oyes RI No negative results found O yes ONo
D. Please surnmartze any negatrre results Irons the database searches indicated above:
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Oyes 2 No
To the best of your knowledge, has the customer ever been involved in any past legation age mst
Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche
F' Bank AG or any of its subsgedes? (If Yes, provide details below and contact Om bey Mgt (LeWrYlst7) O Yes 2 No
or the ReguSstory Control Group and note? Compliance immechetay)
G Does the cbent or related party have any financial or other association / interactkins within countries or O yes 2 to
' regimes sanctioned by the Office of Foreign Assets Control (0fAC)?
Does the client or related party have any financial or other association/ Interactions within high risk
II.
countries? O yes 2 No
I. Corporate Documentation Attached (Legal EnWies Only) E Yes O 110 O Not Applicable
I. Undisclosed Principal Form Complete (Intermediaries Only) Ekes O No ]clot Applicable
K. U Legs/Nem Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the
nature/contents el the non Dogfish Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? O Yes 21No
Is the account structure unusually complex? Ores 0 No
Is there any indication the client set up a non operating company expressly for
the purpose of transfemng shares to third parties? UYeS @ Na
Is there any indication this could be a prohibited business relationship? O yet 0 No
Are the bearer shares identified subject to acceptable controls? O yes 0 Ito
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M. Case Comments
Created By Date Comments
Southern Trust Company Is an misting client at DB. Their catty documents can be Sound In previously approved case
Cynthia Rodriguez 1/10/117 1:12 PM
D1082293.
The Pierre Trust was Incorporated In USV1 but the grantorrtrustee/bene Is a foreign national. Therefore there Is no
Cynthia Rodriguez 1/10/117 1:01 FM
/ax ID.
Pet Dt1 Internal tax team, the Pierre Trust would not require a tax ID because this trust has a foreign grantor owner.
Cynthia Rodriguez 1/18/117 4:59PM
See attached email from Rich tortoni.
Cynthia Rodriguez 1/10/117 12:04AM Recent research for Darren Indyke and Jeffrey Epstein can be found In case 01651789.
Cynthia Rodriguez 1/10/117 1:03 PM Resolution for signing authority has been attached.
Cynthia Rodriguez 1/10/117 3:55 Ste See attached response from Darren Indyke regarding the TIN on the trust.
ONSHORE APPROVALS
Client Facing Professional (CFP): tern sohrab Signature) 1/6/2017
tern sohrab
Office Drector/Business Head: Armen Brash Signature) 1/6/2017
Moen Brash
Regional Office Director: Signature)
Mil Business Risk:
(Signature)
AML Compieance•
(Signature)
Gwen Hill (Awn i till 1/19/2017
Yoonsun (hung YOOnSull Chung 1/19/2017
LATAM/INTERNATIONAL APPROVALS
(lent rat ing Prolenional((TFP): (Signature)
Azcount Manager. (Signature)
Global Market Team Head (GMTH);Sub (Signature)
Market Team Head (SHIN ):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICYSTATEMENT: Deutsche Bank Private Wealth Managentem (Pit'Al)
worldwide is committed to professionally serve the interests ofits clients. To do so. Client Facing Professionals10) (CFP's)
shouldestablish andmaintain business relationships only with persons who swish; our high standards ofsuitability,
backgroundand character. Due diligence obtainedon 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.
DECLARATIONFORALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is
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correct andup to date. 1confirm that I have no suspicions relating to the money laundering or unethical activities on the
part oldie clients) and that I have followedall the procedures relating to account opening as described in the PIE II
Americas Procedures and the PIVM Global LTC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers. Broken, Client
Managers, etc.
Deutsche Bak •mericas New Yolk
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