EFTA01282264.pdf

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. mirk
Relationship Manager: Pad Morris
.w4 New PWM Relationship 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.
(as,
• Client Referral El RM Prospect O Intermediary/71M O Other Source 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
El
2 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_00 148276
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 Ofa vailable)
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
.4 Other Ina/ration (Indicate name & location): JPMorgan, NYC
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 Signatormantect inancial Significant egal Srantor/Settbr Founding Other
:abb.)! Source Holder OwnerTrust / Bendi ciabr 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
3 O 0 Espe"st ein O O O O O O O CI O 0 o sh f a S r o e u h t o h l e d r e n r
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
3 5gl C Tr o u m st p any, • 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
What is the expected vc4urne of assets and currency for the account approx. one year after opening?
1100,000 I Currency I USD
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 Ep stee O N O • • • • 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
Trust ri . O O O O O 100 O O O Financial
3 Ira O 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_00 148278
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
O O
El rust • O O O O • O
2 0 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_00 148279
EFTA01282267

KYC Print Page 5 of 14
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct. Hunter rdavaledei.
Account Manager. Paul Moni s
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 • • O 2] O O O • • shareholder
I O 0 Epstreeny of Southern
Trust;
Southern
• O O O O • O
23 21 Irust O O
2
_ompany,
it-❑rA,
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_00 148280
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
pray and/or
Parties ,indkate 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 q 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_00 148282
EFTA01282270

K4/'( PT Page 8 of 14
nt
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
Utte Saint James Saint Thorns 00802 US Virgin Islands M5/her country of ;enormity El yes No
Address of primary residence:
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 Elves zra
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or 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)1 48283
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
O
O 21Com pany Private Investment
0 Foundation/Association This) O Estate
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, I i
revocablllty,settlor and beneficiariesvetc.:
Southern 1r ust 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('): <$1 NM
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
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Ilt t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000499
EFTA_00148284
EFTA01282272

KYC Print Page 10 of 14
Institution: I Country: I Est. Assets Undo. Mgt
I
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Southern Trust Company, Inc. - 00000483883
2Private
Investment O
O Foundation/Association O Trust @Company O Estate
type of Entity Purpose of Entity:
Philanthiopk/Chantable O
ll Partnership
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 Yes El No 0
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)':
Describe Nature of Entity's Primary Business and Investment Activities
Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private
return
consulting company that invests the assets of their dents and gets their revenue from the
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_0014 8285
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 12I NY El offshore VI Moderate C CL A I High Risk Jacqueline Lightbody
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. attached 0 Yes Otto
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
F. D D e e u u t t s s c c h h e e B Ba a n r k * A A G G o o r r a a n n y y o o f f I it t s s ' s o u b b s s i i d di i a a r n ie s s ? o ( r I i f s Y th e e s c p u ro st v o id m e e s r k th ia r e ia a t b e d n O in W g a lit n ig d a c ti a o n n aga @ ins a t lly 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)?
Does the dent or related party have any financial or other association/ interactions within high risk . yes ONo
H.
countries?
I. Corporate Documentation Attached (Legal Entities Only) /2) Yes 0 No 0 Not Applkable
SDNY_GM_00037677
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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
ps://dbforcepb.my.salesforcaraNEJIDEschiltiAL000000D9Di&e... 7/18/2019
t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0000502
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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 ofi ts 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 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 belieft he 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 oft he client(s) and that! have followed all the procedures relating to account opening as described
in the FIRMA meneas Procedures and the PIM Global KYC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers Wealth Advisors, Product Officers, Brokers,
Client Managers, etc.
SDNY_GM_00037679
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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_00 148289
EFTA01282277