EFTA01283800.pdf

KYC Print Page I of 12
DB PWM GLOBAL KYC/NCA: PART A
KYC Case • : 01082293 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Nanw: EPSTEIN, )EFVREY REtATTONSHIP:00000013290 Booking Center: New York
Relationship Manager: Paul Morns
g New PWM Relationship O Exiting PWM Relationship
Relationship to PWM:
If distirv, please indicate sing when the relationship exists, provide reason for new profile and attach old profile:
O Client Referral El RN Prospect O Intermediacy/BM O Other Source (CIB, etc.)
How Was the Client(s)
Introduced) How long has the
RM peisonaNy known the Please provide details (e.g. amt of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was
client? a client of Paul's at JP Morg n. Paul end Jeffrey Epstein had a mutual friendff °league olio introduced than while Paul was at
JOMorgan. Over the course f a few meetings Paul was able to et Jeffrey to bring some of his funds over to JPMorgan
Does Deutsche Bank pay a U Yes I g No
retrocession or similar
compensation to a third party
ful
for the introduction of this Ycs, descrtbe):
retallaishp?
List all existing and new accounts brayed in this relationship
Legal Ertty Account Name / Number Opening Date (intended/actual)
Account(s)
1 2 Southern Frnanclal, LLC 8/19/2013
2 g Southern Financial, LLC 8/19/2013
3 2 Southern Trust Company, Inc. 8119/2013
4 2 Southern Trust Company. Inc. 8/19/2013
Who is he Orrery contact
person or the RM? (Note: This
Preferred method of contact
person needs to have Jeffrey Epstein 390 775 2525
(ein-mdiacial te phone no, fax no.,
signatory rights and/or
address, etc.):
kiloimation right for the
accounts.):
SDNY_GM_00039691
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002515
EF1'A_00150300
EFTA01283800

KYC Print Page 2 of 12
One sheet mint be established for cads account to be opened
2. Account Ownership Summary
Account Name: Southern Financial, LLC Acct. Number (da vadable).
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 ',Mere the assets are expected to lain?
DB
0 Group: Same Booking Center (Skate account number):
0 DO Group: Other Booking Center (indicate DB location and account details):
J Other Institution (Indkate name & locatIon) rblorgan, NYC
0 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 wonth)'r: Roughly 2 inflows
& outflows per month ranging from $1000 to $10,000.
I Currency I USD
V/hat is the expected volume of assets and currency for the account approx. 90 days after opening' 1 50'
What is the expected volume of assets and currency for the account approx. one year after opening?
1150,000 'Currency I USD
DoesAvIt the client have Assets Under Management (AuM) within DB under Fur. 3M7 • Yes 74No
Please list all parties related to the account.
for each party:
• heck d a source of wealth escription is required for the party.
• Check the appropriate hex l describe the relationship of the party to this account (> 1 can be selected).
• I non i or the check boxes pply, describe the party's relation t the arrow* in the "Others column.
• Many deS(nbe the relation hip between the parties in the last column.
• lease drill down to the ultirnateiunderlying Elentikuil Owner(s).
Anal Descrytnn AccountPIC Settler of Arnie ‘SignatoryslmItedrInancial Significant -eftill aantor/Settlorf-oundinOther
Entityul Source Holder Owneffnist / Bent/Make FA 'OA IltennedlasyStiateitolderltepresentattve Donor please
of Wealth Founder of Ownw ?OA (FIN) ,> • 25%) *scribe
required Foundation Non-PIC ather roles
entity and/ix
Parties 'Indicate ndicate
related to ownership dationship
his %) aetween
account sorties)
Sole I
matey 0 0 0
0 0 0 0 0 0 0 0
1 EPStekl 0 of Southh/ern
Trust:
Southern
2 El 74 Financial H NI D 0 El • 0 0 0 0
LLC
Southern
Trust is the
sole
rnenter of
Southern Southern
Trust
3 Ea Company, • • 0 0 0 0 0 No 0 0 0 F an in d a n J c e i f a fr l e y
Inc Epsten is
he sole
shareholder
3f Southern
Trusl
SONY_GM_00039692
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002516
EFTA_00150301
EFTA01283801

KYC Print Page 3 of 12
2. Account Cnynerahlp Summary
Account Name: Southern Financial, LLC Acct. Number Ofa vailable)
Account Manager Paul Morns
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, tong-term investment, payment/expense
account)' Chocking account to hold funds for the corrpany.
Indicate from where the assets are expected to ankte?
O De Group: Same Booking Center (indkate account muter):
O DO Group: Other Booking Center (indicate DB location and account details):
2
Other Institution (Indicate name & locationk 'Morgan, NYC
O Physkal Deposits (specify cash, securities, cheques, ...):
What is the wetted size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 10
Slows and 10 outflows per month ranging from $1,000 to $10,000.
I Currency I
What is the expected volume of assets and currency for the account approx. 90 days after opening? 150' USO
What is the expected vc4urne of assets and currency for the account approx. one year after opening?
1100,000 I Currency I USD
Doe/wi the client have Assets Under Management (AuM) witNn DI3 under Eur. 3M? • Yt5 a N3
Please Ilst all perdu 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 thts account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation t the account in the 'Other" cobra.
• Always describe the relationship between the parties In the last column.
• Please dill down to the ultimate/underlying Beneficial Owner(s).
-egaliDescrptbn AccounbalC Senior of Jitimate ISignatorysimitectinancial Significant _eget 'rantortSettiorrounding Other
Entityof Source Holder DernerTrust / 3enefirialor FA POA IntermediarySharehokterReprmentative Donor please
of Wealth Founder of Owner POA (FIM) ,>=25%) Jesuitic
required Foundation Non-PIC idler roles
entity and/or
Parties ,indkate ndicate
related to ownership elmionship
this %) ketween
account sorties)
Sole
.1c4frey f—i O • O O O • O • shareholder
1 • a Epstein " I o of SSoouuthern
Trust;
Southern
2 5r41 Ea tlnancial a O O O O O O O O O
LLC
Southern
Trust is the
sole
"verdict of
Southern Southem
2 2 Trust O Financial
3 Company, • O O O O O O 100 O O and Miley
Inc. Epstein is
the sole
shareholder
of Southern
Trust
SONY_GM_00039693
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CONFIDENTIAL - PURSUANT TO FED_ R_ CRIM. P. 6(e) DB-SDNY-0002517
EFTA_00150302
EFTA01283802

KYC Print Page 4 of 12
2. Account ownerablp Summary
Account Nano: Southern Trutt Company, Inc Acct. Number (/avolitakt.
Account Manager Paul Morris
What is the purpose of the account (eg. portfolio masa ement, advisory account, custody services, long-term Investment. Payment/expense
account)' Checking account. To hold funds for company
Indicate from item the assets are expected to mho,
O De Group: Same Booking Center (Indicate account miter):
O DO Group: Other Booking Center (Indicate DB location and account details):
2
Other Institution (Indicate name & location )fliorgan, 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
Felons and 10 outflows per month ranging from $1,000 to $10,000
50000 I Curraby I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening' I '
What is the expected volume of assets and currency for the account approx. one year after 1100,000 I Currency I USD
opening'
Dobjwil the client have Assets Under Management (AuM) within 06 under Eur. 3M? . YES 4 No
Please llst all parties related to the account
For each party:
• Check I a source of wealth desalptka 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 boxes apply, describe the patty's rebtbn to the account in the 'Other' cokenn.
• Aierays describe the relationship between the parties in the last column.
• Please drill down to the ultimaterunckrlying Benefaial Cornet)
-egallDescrotbn AccounbalC Senior of Jkimate SignatornbatedFinancial Significant _eget GrantoriSettlorrounding.3ther
[mayor Source molder DwnerTrust / 3endiciakor Rd POA InterrnediarySturreholdertepresentative Donor please
of Wealth Founder oflymer POA (F1M) ,>=25%) describe
requied Foundation I Non-PIC other roles
entry and/or
Parties ,ndkate miaow
related to ownership Mationship
it %) etween
MUSKS mrties)
Sole
Jeffrey i, • • shareholder
1 lil El Epsteb O A O O O O O of Southern
inn;
SOUh em
O
2 E?I Innt O • O O O O U
2 (-7i O
_ompany,
enC-
SONY_GM_00039694
https://dbforcepb.my.salesforcCLINErilDEgclardiAL000000D9Di&e... 7/18/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002518
EFTA_00 150303
EFTA01283803

KYC Print Page 5 of 12
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct. Hunter ru'avalitbki.
Account Manager Paul Monis
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 funds for the company.
Indicate from vdiere 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 ',tyska!
Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflow and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows
& outflows per month ranging from $1,000 to $1&0)0
54" I Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening' I
What as the expected volume of assets and currency for the account approx. one year after 1150,000 I Currency I USD
opening"
5 No
Does/will the client have &wets Under Management (AuM) YAW 013 under Eur. Ma 0 Ym
Please Ilst all parties related to the account
For each party:
• Check I a source of wealth desalption is required for the party.
• Check the appropriate box to descrte the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation t the Kona* in the 'Other column.
• Always describe the relationship between the parties in the last carton.
• Please drill down to the ultimate/underlying Benetkial Owner(s).
-egaliDesattbn Accoun0PIC Senior of Jltimate ISignatorytimitedrinancial Significant AO Grantor/Settlor-ounding ather
Enteral Source Holder DvmerTrust / Seneficiabr Fiji POA IntermediareShareholdergepresentathe )onor 'please
of Wealth Founder of Owner POA (FPM) ,>•25%) iescribe
required Foundation Non.PIC ,the roles
entity and/or
Patties ,Indkate Mimic
related to ownership rIationship
.his %) >E4Weel
account lathes)
Sole
1 El 0 E J p e s ff treeny m • • O N O O O O O o sh f a S r o e u h t o hlderenr
Trust;
Southern
O O
2 21 Tnnt r-7, • O O O O • O
2
Company,
Inc.
SONY_GM_00039695
https://dbforcepb.Illy.salesforeCLINErilDaaTIAL000000D9Di&e... 7/18/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002519
EFTA_OOI 50304
EFTA01283804

KYC Print Page 6 of 12
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeffrey Epstein - 00000983289 Date of Birth: 1/20/1953
Country of Residence: USVI Canby of Ckizenship: USA
Has client resided outside of
Address d panary residence: Utte Saint James Saint 'Tomas 00802 US Virgin Islands his/her countryof alionalay O yes ®No
fix 5 yeas or more'
Profession/Occupation: Self Empolyed Tax ID / SSN: 090443348
Current Employer: Southern FbanclaILLC PosItionfiltle/Ranic President
Address of engeoYer: 6100 Red Rook Quarter B3 St. Thomas USVI 00002
Does the person work as senior executive of a DB-recognized regulated entity in the financial
%tubs,' or an entity listed on a D8-recognised exchange' (Not applicable for operating entItia • Y es R1No
Is the indwidual a Politically Exposed Person (PEP)'/(if Yes, desctibe) O Yes RI No
To the best of your knowledge, is the individual related to an en-pewee of the DB group7(lE O Iambi O Friendship 21N one
Family or Friendship, *seine)
To the best of your knowledge, Is the individual party to a non-banking relationship with WIND
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or Oyes
services)70/ Yes,describe)
Indicate where and when the client meeUng(s) took place:
II applicable, indicate Wien bank officers have met the person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other location (specify): Date:
Dominic: Business:
Paul Morris O O 21 4/3/2013
O • O
O II D
• Wealth Details for des Individual are not Ailed in, because they are the same as for the following person:
3B. Wealth Details (Only for parties regulnng source 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'
Pnrnary industry of source of Vieata/Source of Funds"
Summarize Source of Wealth: W Business Owner il Salary/Earnings 0 Investment U Inhartance/Gifts O Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance, how
did family accumulate weakh,For business owners, how long in business, how many ark:40%es, level of profitability' Indicate type of business, countries of
mayor activities, Important business partners.) Epstein began his financial career in 1976 a an options trader at Bear Steams and became a panned n 1980. In
1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a bans n net worth. In 19%,
Epstein 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. AI of his dents were
anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management firms
Estimated Annual Inmost-(S): 10,000,000.00 Estimated amount of investable assets(f): 550 Mb - 100 Mb
Estimated Net Worth($): $100 MM • 500 MM Amount of assets planned to invest with PW14($): 10,000.00
Other Known Financial Institutions:
Institution: .IPMargan Country: USA Est. Assets Under Mgt: 20,000,000.00
Institution: Country: Est. Asses Under Mgt:
SDNY_GM_00039696
https://dbforcepb. y.salesforeC6CINErilDaatiAL000000D9Di&e... 7/18/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002520
EFTA_00I 50305
EFTA01283805

KYC Print Page 7 of 12
Insteutian: Country: Est. Assets Under tint:
Please Indicate the farttly situation of the individual (marital status, othe family members. etc.): Single
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 I-manual MC • 00000483887
Ire Private inveramon O
O foundation/Association ❑E l Trust RI Company . Estate
Type of Dstity: Purpose Entity:
1C—.•j Partnership of Philanthropic/amniaMe O
Commercial
Type of Entity Other (specify): PUtp0Se of Entity
Other (specify):
Country of US Vagin Islands Date of Intorporaton / 2125/2013
incorimatiolvregivration: registration:
Vokker Status: VWcker Flag:
Address (city, street, 'nisi 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0799192
code).
Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. For trusts/ mindations, Include Information about
reexabillty,settior and beneficlarlesetc.:
Southern Trust Company Inc is the sole member of Southern FittaIldill LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
Please indicate how ownership of the legal entity is reflected: Southern Trust Company Inc Is the sole member of Southern Financial LLC. )effrcy Epstein is the
sole shareholder ot Southern Trust Company Inc
II Special attention: Bearer Shares' Indicate where shares are custcdied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner afoot the same persons) Southern Trust Company Inc Is the sole
member of Southern Financed LLC. Jeffrey Epstein is the sole shareholder of SOW/1CM Trust Company Inc
To the best of your knovdedge, is the entity party to a non-banking relationship with Deutsche
Bank external legal counsel, client referral source, SuPpeer of goods or servkesp: Yes O No @
Describe Nature of Entity's Primary Business and Investment Activities
This business Is funded by Jeffrey Epstein's wealth. This company was formed to hold fir.
Epstein's personal wealth ark' invest In deferent ventures.This company invests in real estate,
Nature of the business:
equities, commodities, etc and gels its revenue from the gains it makes in these investments. It
6 a company formed to Invest the assets of M. Epstein
Countries velem business Is transacted: US Virgin Islands
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth description es indicated in 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 or equivalent sum-nary of assets: kabilities).
The meal funding in February 2013 was $1,000 from the sole shareholder of the sok• ellanai'm immber (leffrry Epstein).
Estimated gross receipts pa.(3): 2,000,000.00
Estimated net prom p.a. (5): 1,540,000.00
Estimated investable assets (5): 41 MM
Potential Amount to be invested with PWM ($): 300,00000
Other Known Financial Institutions:
Institution: intiorgan Country: USA Est. Assets Under Mgt: 1,000,000.00
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00039897
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002521
EFTA_00150306
EFTA01283806

KYC Print Page 8 of 12
Institution: I I Country. Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Name: Southern Trust Company, Inc. - 00000403883
J Private Investment O
O Foundabon/Association O Trust @Company O Estate
Type of int Ily: Purpose of Entity:
Philanthrodc/Chaeitable O
• Partnership
COMMerCL31
Purpose of Entity
Type of Entity Other (specify):
Other (specify):
Country or US Vegan Islands Date of incorporation / 11/18/2011
IncorporatlotVregistration- registration:
Volcker Status: Volcker Flag:
Addries(city, street, post 6100 Red Hook Quarter EC St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 660775861
code):
Provide a description of the entity's organizational structure, Its ownersNp structure and its Top Management. For trusts/foundations, Include hformatton about
tevocablley,settke end bendklariesietc.:
Please Indicate how ownership of the legal entity is reflected: Jeffrey Fustein b sole managing member
MI special attentbm Beater Shares - Indicate where shares are cintodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner Of not the same persons). Jeffrey Epstein is sole managing member
To the best of your knowledge, i.. the entity party toe non-banking relationship with Deutsche yes O No Eil
Bank (e.g. external legal counsel, client referral source, soppier of goods or services)?:
Describe Nature of Entity's Primary Business and Investment Arthritics
Consulting Services relying on Financial and Bietnedkal algorithms. Southern Trust is a private
consulting company that invests the assets of their dents and gets their revenue from the return
Nature of the business. of these Investments. Southern Trust invests in deferent portfolios catered to their clients and
makes their revenue based on the returns and the fees associated with managing their clients
tassels
Countries Mere butineSS is transacted: US Virgin Islands
Number of emprk>yees: 4
3D. Wealth Profile (Only for parties requirim since of wealth descnption as indicated in Section I)
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 or equhtalent summary of assetsflabilities):
Consult and invest dent funds and gain revenue based on fees and returns
I somated gross receipts p.a.($): 2000,000.00
I stirnated net profit p.a. (5): 1,500,000.03
Estimated investable assets ($): 52 MM - 5 MM
Potential Amount to be invested wish PWM ($). 300.000.00
Other Known Einem al Institutions:
Institutacfr .IPPlargan Country' USA Est. Assets Under Plot: I OCO 003 00
InStitutton! I ountry: Lst. Assets Under Mgt:
Institution: Country: 1st. Assets Under Mgt:
SDNY_GM_00039698
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t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002522
EFTA_00150307
EFTA01283807

KYC Print Page 9 of 12
DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center 12 NY O Oq Offshore IP ii'dgrate 121High Risk _.I
NY/Offshore isk
(Compliance Signature)
O 08 Employee O DB Managed PIC O DO is Trustee/Co-Trustee O Beams Shares
4. Attachments
A. Type of Photo ID Provided EnD rivers License R Passport O National/State ID O Other
Checklist of names (individuals and/or entitles) that were submitted for database searches is
B. attached 21y es O No
C. Please indkate the results of the database searches performed
RDC searches complete ®Yes O Ho negative results found Ryes O110
PCR checks complete 'a yes O No negative results found n Yes O No
OFAC checks complete Oyes O No negative results found ales ®No
BIS searches complete (Lexis/Neds, Facilva, Reuters, Dow Jones, D&B) ®yes Otio negative results found Oyes No
Denial Orders checks complete Ryes ONO negative results found Oyes Olio
Martindale-Hubbell searched (Lawyers/Law Firms only) aka R Ho negative results found • yes • No
Please summarize any negative results from the database searches Indicated above: JEFFREY EPSTEIN:
ROC Alert a I •- Cleared & APPROVED by Chip Packard, AM. Compliance, and Pat Harris
PCR Alert 91/2 — Not ow client
Al Cases Closed
SOUTHERN FINANCIAL 1.1e.
No negative media
No court cases
SOUTHERN TRUST INC:
No negative media
Court Case -- Not our dent.
FINANCIAL INFOMATICS INC:
No negative media
No Court CaseS
I. Epstein & Co.
Al Negative Media is our client He has been clears of posing a reputational risk as shorn, by the Alt Clearance attached
Court Cases have been closed
FINANCIAL TRUST &CO
RDC/PCR alert is associated with Southern Financial, the company 4 merged into. This alert has been cleared by Compliance and is attached
Court Cases Me closed
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? El yes O No
To the best of your knowledge, has the customer ever been invotred in any past litigation against
Deutsche Bair AG or any of Its subsidiaries or Is the customer threatening Illigabon against
F. Deutsche Bank AG or any of Its subsidiaries? (If Yes, provide cklaia IX1011* and conbct Quallty Mgt OYes ®1b
(Lst.AnYlneVor the Regulatory Cot Group indoor:1y Compliance irnmediately)
Data the dent or related pa have any financial or other association / Interactions within countries O yes g 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 vdthin high risk . mesa No
H.
countries?
I. Corporate Documentation Attached (Legal Entities Only) 121 yes O No ONot Applicable
SDNY_GM_00039699
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002523
EFTA_00150308
EFTA01283808

KYC Print Page 10 of 12
I. Undisclosed Pnnopal Form Complete (Intermediaries Only)
li yes D No rI Not Applicable
K. If Lechtfieds Search Results, Corporate Documents oc Other Supporting Documentation is not in English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Specal Risk Factors
Does the account have Nexus to Special Risk Countries? Ores ®No
Is the account structure tnusually complex) OYes ®No
I f s o r t h th e e re p a u n rp y o i s n e d i o c f a t t i r o a n n s th fe e r c m lie g n s t h s a e re l u s p to a t n h o ird n o p p a e rt r i a e t s in ' g company expressly l e _ n l Yes RHO
Is that any indication this could be a prohibited business relationship> O yrs 21W
tut the bearer shares identified subject to acceptable controls' IN Yes &I No
SDNY_GM_00039700
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t
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002624
EF1'A_00150309
EFTA01283809

KYC Print Page 11 of 12
M. Case Comments
records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris Signature) 7/17/2013
)atil Morris
Office Director/Business Head: Brian M. &agar Signature) 1118/2013
,Loan M. Biggar
Regional Office Director: Signature)
Mt Business Risk:
(Signature)
Armen Brash Armen Brash 8/20(2013
AML Compliance:
(Signature)
Janice Franklin lance Franklin 8/21:2013
LATAN /INTERNATIONAL APPROVALS
Olent Fadeg Professional (CEP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
STMTH)/Sub-Market Team Head
94TH):
Mt Business Risk
(Signature)
Mt Compliance:
(Signature)
PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests ofi ts clients. To do so. Client Facing Professionals!(!)
(CFP 's) should establish and maintain business relationships onty 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 ofC FP's to demonstrate that they blow their client both at the inception ofa relationship
and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofm y 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 PWMA mericas Procedures and the PIMGlobal KYC Policy
(I) Client Facing Professionals (CIF's) include: Relationship Managers, Wealth Ativisurs. Product Officers, Brokers,
Client Managers. etc.
Deutsche Bank Americas New York
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