EFTA01282080.pdf

KYC Print Page 1 of 12
DB PWM GLOBAL KYC/NCA: PART A
KYC Case it : 01305519 Status : 6. Approved
ne sheetmust be established r relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Name: JSC INTERIORS LLC FtELATIONSHIP:00000496076 Booking Center: New York
Relationship Manager: Paul Monis
14
New PWM Relationship O Existing PWM Relationship
Relationship to PSVNI:
If existng, please indicate once when the relations ip exists, provide reason for new profile and attach old wale:
O O
F2I Client Referral RM Prospect 1O Intermediary/PIM Other Source (CIB, etc.)
How Was the Oient(s)
Introduced? How long has the
RM personally known the Please provide details (e.g. name of referral source, how many years RN personally has known client, etc.): Richard Kahn is
cent? a current client of Paul Morris. He referred the account as he knows the owner of this LLC and S also POA.
Does Deutsche Bank pay a 0 Yes I 2 No
retrocession or similar
compensation to a thid party
for the introduction of this (if Yes describe):
relationship?
List all existing and new acccuas involved in this relationship
Legal Entity Account Name / Number Opening Date (intendediacbial)
Account(s)
1 0 JSC Interiors LLC • Deposits 11/19/2014
2 O JSC Interiors LLC • NIMA 11/19/2014
Who is the primary contact
person for the RM? (Note:
Preferred method of contact
Ths person needs to have Richard Kahn
(ixkcate phone no., fax no.,
stgratory rights and/or
e-mail address, etc.):
information right for the
accounts.):
SDNY_GM_00037359
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CONFIDENTIAL- PURSUANT TO FED. R. DB-SONY-0000183
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: JSC Interiors LLC - Deposits Acct. Number (layoff:WM):
Account Manager: Paul Moms
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term awestment, payment/expense
account)? Chedong account for dalny activities associated with running an interior design company.
Indicate from where the assets are expected to arrive?
• DB Group: Same Booking Center (indicate account number):
• DB Group: Other Booking Center (indicate DB location and account details):
0 Other Instkution (Indicate name & location): 3PM
O Physical Deposits (specify cash, securities, cheques,...):
What is the expected size and frequency of regular Mows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10.20
inflows and outflows per month ranging from $1,000 to $10,000
25000 I Currency
What is the expected volume of assets and currency for the account approx. 90 days after opening? I USD
50000
What is the expected volume of assets and currency for the account approx. one year after opening? I Currency I USD
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? O Yes O No
Please list all parties related to the account
For each party:
• Check if a source of wealth &solution is recaked for the party.
• Check the appropriate box to desaibe the relationship o4 the party to this accost (a 1 can be selected).
*other
• If none of the check boxes apply, describe the party's relation to the account in the column.
• Always desaibe the relattnship between the parties in the last column.
• Please &ill down to the ultinate/underlying Beneficial Owner( ).
_egal Description AccoundPIC Settlor of Ultimate *rotor) iteSinancial Significant Legal Grantor/Setborrounding Other
:intityof Source molder Ow nerTrust/ Beneficialor Full POA Intermeduary6hareholder Representative Donor (please
of Wealth Founder of Owner POA (FIM) (>-25%) Cesate
receked Foundation Non-PIC other roles
entity and/or
Parties :indicate "[care
related ownership ,eationship
to this ;6) between
account -antes)
I 0 0 K R a i h ch n a rd O O O O 2 O O 0 0 D
JSC
2 2 2 interiors 2 O O O O O ID O 0 D
LLC
O 2 . O O O 2 • O O O O •
3
SDNY_GN1_00037360
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000184
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2. Account Ownership Summary
Account Name: 3SC Interiors tic - MMA Acct. Number (if available)
Account Manager: Paul Maris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Money
Market account to hold funds and earn interest for the interior design &n
Indicate from where the assets we expected to arrive?
• DB Group: Same Booking Center (indicate account number):
• DB Group: Other &eking Center (indicate DB location and account details):
n Other Insbtutico (Indicate name & location): )PM
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 1.3
inflows and 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 250®
What is the expected volume of assets and currency for the account approx. we year after opening? 1 50000 I Currency I USD
Does/will the client have Asses Under Management (AuM) within DB under Eur. 3M? I Yes n No
Please list all parties related to the account.
For each party:
• Check if a source of wealth desolation is required fo the party.
• Check the appropriate box to desaibe the relationshp of the patty to this account (a 1 can be selected).
• f non of the check boxes apply, describe the party relation to the account in the 'Other' column.
• Always describe the relationship between the parties in the last column.
• Please drill dawn to the ultinate/underlying Beneficial Owner( ).
.egal )esaiption AccountPlC Sector of Ultimate Sonata") iteciFinancial Significant Legal Grantor/Settlafounding Other
2Mityof Source Holder OwnerTrust/ Beneficiake Full a0A IntermedizryShareholder Representative Donor (please
of Wealth Founder of Owner POA (FIN) (”25%) describe
•ecpsed Foundation Von-NC other roles
entity and/or
Parties (indicate indicate
related ownership relationship
to this ill) between
account parties)
1 O O KRa h .: n F ordo Do • .•. 4 0 0 0 0 O
3SC
2 la la Interiors M • O • • O O • O O
LLC
3 O 15 ■ • • O 5 • O 0 • O O
ONFIDENTIAL
SDNY_GM_00037361
CONFIDENTIAL - PURSUANT TO FED. R. t DB-SONY-0000185
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A Individual Details (for all parties)
Individual's Name: Richard Kahn • 00000486407 Date of Bath:
Country of Residence: USA Cantry of Citizenship: USA
Has dent resided outside of
Address of primary residence: his/her country of nationality O Yes FA No
fu 5 years or more?
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer. HBRK Associates, Inc Position/Tide/Rank:
Address of employer. 57S Lexington Ave, 4th Fl New York NY USA 10022
Does the person work as senio executive of a DB-recognized regulated enbty in the financial
industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating • Yes No
entities
la No
Is the individual a Politically Exposed Person (PEP)?(if Ye£ *sate) Ekes
To the best of your knowledge, 6 the individual related w an employee of the DB group?(Oe O Family O Friendship 2 None
Family or F+riJvblaA describe)
To the best of your knowledge, is the individual party to a non-banking relationship with 121
Deuisthe Bank (erg., external legs counsel, client referral source, supplier of goods or • Yes No
services)?(FY Yesdesafte)
If applicable, indcate which bank officers have met the Indicate where and when the client meeting(s took place:
person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (specify): Date
Duniale: Business:
Paul Morris • • RI 11/4/2014
O O O
O O O
• Wealth Details for this individual are not flied in, because they are the same as for the flowing person:
3B. Wealth Details (Only for parties nadLeing Sane of wealth description as kidicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealtlVsouroe of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: O Business OWE! O Salary/Earnings O Investment O Inheritance/Gifts • Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the SGINCOB: (e.g. For tugs, how did setdor 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 awvities, important business partners.)
Estimated Annual Income($): Estimated amount of investable assets(:):
Estimated Net Worth($): Amount of assets planned to invest with PWM(S):
Other Known financial Institutions:
I Est. Assets Under Mgt:
Institution: Coisty: Est. Assets Under Mgt:
SDNY_GM_00037362
ONF IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. Ce DB-SONY-0000186
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Institution: Coutry: S. Assets Under Mgt:
Please indicate the tangy situation of the axInridual (marital status, other tarry members, etc.):
SDNY_GM_00037363
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Date of Beth:
Country of Residence: USA Catty of Citizenship:
Has cbent resided outside of 7
Address of primary residence: his/her country of nationality O Yes No
for 5 years or more?
Profession/Occupation: Tax ID I SSN:
Current Employer. Position/Tide/Rank: President
Address of employer.
Does the person work as senio executive of a DB-recognized regulated enoty in the financial
industry? cc an entity listed on a DB-recognised exchange? (Not applicable for operating M Yes No
fl oes
2
Is the individual a Politically Exposed Person (PEP)?(if Ye£ &sate) O Yes NO
To the best of your knowledge, 6 the individual related w an employee of the DB group?(if O Family O Friendship 2 None
Family& ' A describe)
To the best of your knowledge, is the individual party to a no-nbanking relatdoship with 2
Deutsche Bank (e.g., external legs camel, client referral source, supplier of goods or • Yes No
services)?(FY Yesdesdfte)
If applicable, indcate which bank officers have met the Indicate where and when the client meeting(s took place:
person:
Client Private Client Place of
Bank Officer Name(s) Bank Office' Other Location (specify): Date:
' Domicile: Business:
Paul Morris • • 2 11/3/2014
O O O
O O O
• Wealth Details for this individual are not filed in, because they are the re as for the flowing person:
38. Wealth Details (Only for parties nettling source of wealth ascription as indicated in Section 2)
Nature of the Irdividuars Business: Interior Design
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: Busims Owner • Salary/Earnings O Investment CIInheritance/6ft O Other:
10
Further Desoibe Source of Wealth /Detail the history of wealth for each of the saran: (e.g. For trusts, how did setdor acanulate 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 addvities, important business partners.) Yulia is an interior decorator and has earned her living through this outlet. She has lived in the US
for over a year and has focused her business in New York catering to individual dients and hopes to expand over time to other locators where clients have
homes
Estimated Annual Income($): 100,000.00 Estimated arnarit of investable assets($): <$1 MM
Estimated Net Worth($): <$1 MM Amount of assets planned to invest with OWN(S):
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00037364
ONF IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. IA DB-SONY-00001ES
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Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the i-cividual (marital status, other family members, etc.): Named
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:
Private Investment •
Type of Entity: L O I Foundation./ AssoctaDon • Trust IA Company • Estate i ' s 9 ., 4 13°s° of Enity: P 0 hianthropoc/Char roNe O
Partnership
iCommercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 11(7/2014
incorporatio /
incorporation/registration:
registratioonn::
Volcker Status: Volcker Flag:
Address (city, street, post 57S Lexington Avenue, 4th Fl New York NY 10022 USA USA US. TIWEIN: 47.2294796
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information
about revocability,settlor and beneficiaries,etc:
Please indicate how ownership of the legal entity is reflected: Richard Kahn is the Manager
2
Special attention: Bearer Shares - Indicate where shares ere custoded: N/A
the chart from the direct owner of the entity to the ultimate beneficial owner (ifn ot he same persons): Single member LL.'
Richard Kahn is the Manager
To the best of your knowledge, is the entity party to a non-banking relationship with
Deutsche Bank (e.g. external legal counsel, dient referral source, supplier of goods or Yes O ND@
services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
Countries where business is transacted: USA
Number of employees: 1
3D. Wealth Profile (Only for parties requiring source of wealth desaiptta as indicated n Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet cc equivalent summary of asset/liabilities):
)SC Interiors Iles assets come from the fees it charges its diet for its decorating services. The firm scedaliam in the high end and works mainly with elite
private clients and companies
Estimated gross receipts p.a.(5): 400,000.00
Estimated net profit pa. (5): 300,000.00
Estimated investable assets (5): c$1 MM
Potenbal Amount to be invested with PWM (5): 100,000.00
Other Known Financial Institutions:
SDNY_GM_00037365
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CONFIDENTIAL- PURSUANT TO FED. R. Ce DB-SONY-0000189
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1
Institution: ]PM Country: USA Est Assets Under Mgt: 100,000.00
Institution: Country: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
SDNY_GM_00037366
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CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000190
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Page 9 of 12
OB PM GLOBAL KYC/NCA: US/LatAm/Inel PART B
Relationship Name
Risk Rating Comments:
Booking Center .r4r NY O O Offshore O Moderate L I— J I High Risk
NY/Ciffshre Risk
(Compliance Signature)
O DB Employee O DB Managed PIC OM is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided R Drivers License O Passport • Nabcnal/State ID • Other
Checklist of names (individuals and/or entities) that were submitted for database searches is
B. attached @ Yes O No
C. Please indicate the results of the database searches performed
RDC searches complete I21Yes O No negative results found O Yes 21N o
PCR checks complete 0 Yes • No negative results found I:I Yes 74 No
OFAC checks complete RI Yes O No negative results found O Yes @ No
BIS searches complete (Lexis/Non, Factiva, Reuters, Dow Jones, D&B) 21Yes • No negative results found • Yes n No
Dermal Orders checks compete RI Yes 0 No negative results found Ekes 2 No
Martindale-Hubbell searched (Lawyers/Law Arms only) O Yes 12 No negative results found O Yes • No
Please summarize any negative results from the database searches indicated above:
No negative results
No court cases
JSC INTERIORS LLC
D.
No negative results
No con cases
RICHARD KAHN:
KYC a • • roved in 401133377 and #01133113
E. To the last of yam knowledge, has the client ever been convicted of a criminal offense? O Yin No
To the best of yam knowledge, has the customer ever been involved in any past Irtigatin aganst
F' D D e e u u t t s s c c h h e e B B a a n n k k A A G G o o r r a a n n y y o of f i it t s s s s u u b b s s id id i i a a r n ie e s s ? o ( r I i f s Y th es e , c p u ro st v c i m de e d r e th ta re il a s t b e o ni a n w g l a it n ig d a c ti o o n n t a a c g t a Q in u s a t lity El Yes I21 N o
Mgt. (CatAmi7ntl)or the Regulatory Control Gnxep and nodfytharkance immediately)
Does the client or related party have any financial or other association / interactionwithin
G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? O Yes 0 No
the client or rated party have any finanoal or other associatm/ 'Me/actor's within high r ni
H'''' risk countries? I—I Yes eci No
I. Corporate Documentation Attached (Legal Entities Only) Yes • No • Not Applicable
J. Uncksclosed Preicipal Form Complete (Intermediaries Only) O Yes O No RI Not Applicable
K. If Lexis/Nas Search ResulM, Corporate Documents or Other Supporting Documentation is not el English, please provide an English summary of the
nabre/contents of the ncn-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? 0 Yes El No
Is the account structure unusually complex? O Yes n No
SDNY_GM_00037367
ONFIDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000191
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Is there any kidicatch the client set up a non operating company Dyes No
exoresaN for the moose of transferring shares to third Dates'
Is there any kidication this could be a prohibited business relationship? El Yes IRINo
Are the bearer shares identified subject to acceptable controls? Ores 0No
SDNY_GM_00037368
ONF IDENTIAL
CONFIDENTIAL— PURSUANT TO FED. R. CC DBS-DNY-0000192
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KYC Print Page II of 12
M. Case Comments
No records to display.
ONSHORE APPROVALS
Client Facing Professions (CFP): Pall Mark (Signature) 11/14/2014
Paul Monis
Office Directorffiusinins Head: Kimberly Hat (Signature) 11/17/2014
Kimberly Hart
Regional Office Diener: (Signature)
AML Busaness Risk:
(Signature)
Melisa Veneges Melisa Venegas 12/2/2014
MIL Canpliance:
(Signature)
I
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signatve)
(GMIH)/Sub-Market Team Head
(*ITN):
MIL Busaness Risk:
(Signature;
AML CarpHance.
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing
Professionals1(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our
high standards of suitability, background and character. Due diligence obtained on the client must be appropriately
documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the
inception of a relationship and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the 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 of the client(s) and that I havef ollowed all the procedures relating to account opening
as described in the PWM Americas Procedures and the PWM Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers,
Brokers, Client Managers, etc.
SDNY_GM_00037369
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CONFIDENTIAL- PURSUANT TO FED. R. IA DB-SONY-0000193
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KYC Print Page 12 of 12
I Deutsche Bank Americas New York
U
SONY_GM_00037370
ONF IDENTIAL
CONFIDENTIAL- PURSUANT TO FED. R. CC DB-SONY-0000194
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EFTA_00147982
EFTA01282091