EFTA01283812.pdf

KYC Print Page I of 10
DB PWM GLOBAL KYC/NCA: PART A
KYC Case x:O1121881 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATTONSMIP:00000483290 Booking Center: New York
Relationship Manager: Paul Mont
n
New PWM Relationship 0 Existing PWM Relationship
Relationship to PWM:
If extsbng, please indicate since when the relationship exists, provide reason for new profile and attach old profile:
NI Client Referral 2 RM Prospect 0 Intermediary/PIM 0 Other Source (ClEt, etc.)
How Was the Client(s)
Introduced' How long has the Please provide details (e.g. name of referral source, how many years RM personally has known cent, etc.): Jeffrey is a
Rhi personally known the current dent of the bank. These are new accounts. ntroduction of Paul and Jeffrey: Jeffrey Epstein was a client of Paurs at JP
client' Morgan. Paul and Jeffrey Epstein had a mutual hien /colleague who introduced them while Paul was at JPMorgan. Over the
course of a few meetings Paul was able to get Jeffrey to bring some of his finds over to 10Morgan
Does Deutsche Bank pay a M Yes 2 No
retrocession or similar
compensation to a third party
for the introduction of this (ft Yes, desenbe)
relationship'
List all existing and new accounts involved in this relatonshp
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 2 kepers Inc 9/18/2013
e
2 Jeepers Inc 9/18/2013
Who Is the primary contact
person for the RN? (Note:
Preferred method of contact
This person needs to have Jeffrey Epstein 212-750-9895
(ndicate phone no., fax no.,
signatory rights and/or
e-mail address, etc.):
information dant for the
accounts.):
SDNY_GM_00039703
https://dbforcepb.my.salesforCCINErincriailliA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002527
EFTA_00150312
EFTA01283812

KYC Print Page 2 of 10
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Jeepers Inc Acct. Number (ifsr aiabey.
Account Manager: Paul Morns
What is the purposed the account (e.g. portfolio management advisory account, custody services, longterm investment, payment expense
account), Checking account for Jeepers Inc daily liquidity needs.
Indicate from where the assets are expected to arrive
O DB Group: Same Booking Center (indicate account number):
O DB Group: Other Booking Center (indicate 08 location and account detais):
ti, Other Institution (Indicate name & location): 3PMorgan Chase. New York, NY
O Physical Deposes (specify cash, securties, cheques, ...):
What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)'. Roughly 510
airflows and outfbws pet month ranging from $1,000 to $10,000
125.000 'Currency I USD
What is the expected volume of assets and currency for the ware approx. 90 days after opening,
I Currency I USD
What Is the expected volume of assets and currency for the account approx. one year after opening, 150•
DoesAMI the client have Assets Under Management (AuM) within 08 under Eur. 3M? li Yes E No
Please 1St an parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationshi of the party to this account (> I can be selected).
• If none of the check boxes apply, describe the party, relation to the account in the -Other column.
• Always descnbe the relationshp between the parties n the last column.
• Please do l down to the ultimate/underlying Beneficial Owner(s .
egal npbal tccounWPlC of /Inmate Sgnatory_I nancial Significant _eget Stan /Settkelounding Othei
Enbtpf Source Holier OwnerTrust / Benelloalor Full PM Intermediary SharehddenePresentatne Donor (please
ef Wealth Founder of Owner POA (FIN) (>=2596) iescribe
required Foundation Ncn-PIC other rotes
entity and/Or
Parties (mdkate ndicate
related ovmership elabonship
to this 16) *Often
account mites)
1 2 2 I 3 n " c c e • 0 O O O • O O O O •
ri n
2 0 2 Jeffr u r— i Li 2 0 n iii i in
Epsteeiny
SDNY_GM_00039704
https://dbforcepb.my.salesforCCINEJIDEpialliAL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002628
EFTA_0015031 3
EFTA01283813

KYC Print Page 3 of 10
2. Account Ownership Summary
Account Name: kePers Inc Acct. Number (I availatle)
Account Manager: Paul Month
What Is the purpose of the account (e.g. portfolio management, advisory accent, custody service, long-term Investment, payment/expense account)/ Money
Market account to hold )eepers Ines cash.
Indicate from where the assets are expected to arrive?
O DB Group: Same Seeing Center Orackate account number):
0 DB Group: Other Booking Center (indicate DB location and account deeds):
itr
.4 Other Institution (Indicate name & location): JPMorgan Chase. New York, NY
0 Physical Depose (specify cash, securities, cheques...*
What Is the expected NM and frequency of regular Inflows and outflows fc c the account (wuNcate estimated number and volume per month)? Roughly 1-2
mfbws and outflows per month ranging from $1,000.$10,000
'Currency I USD
What is the expected volume d assets and currency for the account approx. 90 days after opening/ 150'
What is the expected volume cf assets and currency for the account approx. one year after opening/
1150,000 I Currency
I USD
Does/W1N the client have Assets Under Management (AuM) within 06 under Eur. 3M/ I Yes 7) No
Please 1St alt parties related to the account
For each party:
• Check Ile source d wealth description is required for the party.
• Check the appropriate box to describe the relationshi of the party to this account (> 1c an be selected).
• If non of the check hare apply, describe the path✓ relation to the account In the 'Other column.
• Always describe the relationship between the parties in the last calmly,.
• Please drill down to the ultimate/underlying Benefkia Owner(s).
_egalbescnpbcn AccounWiC Settior of Renate Signatory•imeecrinancial Significant egal &enter/Settler Founding titer
.intity of Source colder OnnerTrust/ nelkialor Full POA Intermediary ShareholderRepresentative Done' (please
of Wealth rounder of POA (FIN) (>=25%) iectibt
required Foundatio Non-PIC 'Alter rdes
entity 3:4 or
Parties (indicate nth:ate
related ownership elaNanstip
to this %) aetv.ten
account ,arties)
xepPe rs.
1 2 O Inc 2 O 2 O • O O • O •
2 2 9 Jeffrey r--i O O
Epstein i—i q O 9 O O O O O
SONY_GM_00039705
https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002529
EFTA_00150314
EFTA01283814

KYC Print Page 4 of 10
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 - 00000483289 Date of Birth: 1/20/1953
Country of Residence: USVI Country of Cttenship: USA
Has dent resided outside of
Late Saint lames Saint Thomas 00802 US Virgin Islands his/her country of nabonality Eyes 741 No
Address of primary residence:
la 5 years or more>
Profession/Occupation: Self Empotyed Tax ID / SSW
Current Employer: Southern Financial LLC Position/TOJe/Rank: President
Address of employer: 6100 Red Hook Quarter B3 St Thomas USVI 00802
Does the person work as senior executive of a De-recognized regulated entity In the financial ri __ al
Yes
ndustry' or an enbty listed on a De-recognised exchange? (Not applicable for operating entities i--i
Is the individual a Pdibrally Exposed Person (PEP)>(// Yes, dewily) 1'es E4 No
To the best of your knowledge, is the individual related to an employee of the DB group'(/ I:Family 0Friendship 5 None
riff* or rnencWup, describe )
D To e u th ts e c h b e e s B t a o n f k y ( o e u .g r . k , n e o x w te le rn d a g l e l , e i g s a t l h c e o i u n n d s i e vi l d , c u l a ie l n p t a r r e ty fe t r o ra a l s n o a u r r b c a e n , s k u in p g p r le e r la o ti f o g n o s o h d ip s w or it h O Yes J No
services)?(rf res,eksenbe)
If applicable, indicate which bank officers have met the Indicate where and when the dent meetings) took place:
Perkin:
Ghent Private Client Place of
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris El • 0 8/7/2013
O O O
• • O
0Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for pages requiring source d wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds'
Summartze Source of Weath: 0 Business Owner O Salary/Eamings 0Investment O Inherttance/Gits 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate weami' For Inheritance,
how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of profit bitty? 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 firm, l. Epstein & Co., managing the assets d clients with more than a billion in net worth. In
19%, Epstein changed the name of his firm to The Financial Trust Company and based It on the island d St Thomas in the US Virgin Islands. All of his clients
were anonymous except for the very wealthy businessman Leslie Wexner. /4s wealth has come from his days at Bear Steams and his financial management
firms
Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assers(S): $50 Mal • 100 MM
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to arrest with FWM(S):
Other Known Financial Institutions:
Inhibition: )PMorgan Chase County: USA Est. Assets Under Mgt: 20,000,000.00
SONY_GM_00039706
https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002530
EFTA_00150315
EFTA01283815

KYC Print Page 5 of 10
Est Assets Under Mgt.
Please indicate the family striation of the widividual (mental status, other (amity members, etc.): Single
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa
3C. Legal Entity Details (For 4 Legal Entdres)
Legal Entity larne Jeepers Inc - 00000486423
O O 2 Private Investment El
Foundation/Association Trust Company DEstate
Type of Embry LI futP0Se of El iftfY: Ph ilanthroplotharitable (J
Partnenhip
Commercial
Purpose of ety
Type of Entity Other (specify):
Other (specEifri y):
Country of United States Virgin Island 8; 16,2003
IDnactoer poofration /
incorporaboniremstration:
registration:
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U S. TINAEIN: 66-0629193
code):
Provide a description of the entitys organizational structure, Its ownership structwe and Its Top Management. For tmsts/foundabons, Include information about
revocabley,settior and benefklariesetc.:
Jeffrey Epstein is the sok shareholder of helms Inc
Please ndkate how ownership of the legal entity is reflected: 1,000 shares of con-non dock are solely owned by Jeffrey Epstein
• credal attention: Bearer Shares - Indicate where shares are custodies':
Describe the chain horn the direct owner of the entity to the ultimate beneficial owner Pien ot the same persons) kffrey Epstein is the sole shareholder of
Southern Trust Company, Inc
To the best of your knovAiedge, s the entry party to a non•Panking relationship with Deutsche [3
Bank (e.g. external legal counsel, (tent referral source, suppler of goods or setvices)': Yes No [2)
Desciibe Nature of Entity's Primary Business and Investment Activities
Nature of the business: lepers Inc Is a private company that holds Investments of es owner, Jeffrey Epstein.
Countries where business is transacted: USA, USVI
Number of employees: 3
3D. Wealth Profile (Only for partite requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Weath/Source of Funds,
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary d assetsfliabeities):
kepers Inc was started to boll the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its
evenue canes from the gains of the Investments it holds.
Estimated gross receipts p.a.($): 400,000.00
Estimated net profit p.a. (5): 200,000.00
Estimated Investable assets (5): 5.20 MM - 50 MM
Potential Amount to be Invested al PWM ($): 200,000.00
Other Known Financial Institutions:
Institution: JP Morgan Chase I Country: I USA I Est. Assets Under Mgt: 128,000,000.00
SDNY_GM_00039707
hups://dbforcepb.my.salesforCaNtalparfaliA19000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002531
EFFA_00150316
EFTA01283816

KYC Print Page 6 of 10
Institutket Country: Est. Assets Under Mgt
InsWien: Country: Est Assets Under Mgt
SDNY_GM_00039708
littps://dbforcepb.my.salesforcCLINEJIDailidiA1000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002532
EFFA_00150317
EFTA01283817

KYC Print Page 7 of 10
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B rA
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
E ceshore
Booking Center Elm, RiskO Moderate c fl _ i i High Risk iGiven Hill
NY/ Offshote
(Complanc Signature)
• DB Employee D DB Managed PIC CI DB is Trustee/Co-Trustee III Bearer Shares
4. Attachments
A- Type ci Photo ID Provided 7A Drivers License O Passport ONational/State ID O0ther
EL C at h ta e c c h k e lis d t of names (Individuals and/or entitles) that were submitted for database searches is El Yes O No
C. Please indicate the results of the database searches performed
RDC searches complete El Yes I: No negative results found Ores 2 No
PCR checks complete 0 Yes ONG negative results found Dyes No
OFAC checks complete 5 Yes I: No negative results found Dyes @ No
BIS searches complete (Le:els/Neck, Pectin, Reuters, Dow Jones, DAB) RI yes O No negative results found Ores @ No
Denial Orders cheeks complete E yes O No negative results fond Oyes 2 No
Martindale-Hubbell searched (Lawyers/L aw Firms only) Dyes R No negative results found Dyes • No
Please surnniarte any negative results from the database searches indicated above: JEFFREY EPSTEIN:
Jeffrey was approved in KYC #01082293
His PCR/RDC alerts and clearances and a documentation is contained in the above mentioned KYC
D.
JEEPERS, INC
No Negative Media
Al court cases are not our client. The court cases refer to a leepers Inc in Arian and one in North Carolina. Cur merit Is based in the US Virgin Islands
E. To the best of your knowledge, has the client ever been comrkted of a criminal offense? Eyes O No
To the best of your knowledge, has the customer ever been Involved in any past litigation against
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 e s s subsidiaries o ( r b s r Y th e e s, c p u a s n to ic m le e d r e th ta re il a s t & e M ni a n w g a lit n ig d a c ti o o n n t a a c g t a Q in u s a t l AY Mgt. Ores El No
&Dwane/nobly
(LaMm/Int7)ortbe Rtvubtory Control Compliance in )
G. D co o u e n s t r t i h e e s c o l r ie r n e t g o im r e re s l a s t a e n d c t p io a n rt e y d h b a y v e th a e n O y f f f i i n c a e n o c f ia F l o o r r e o ig t n h e A r s a se ss ts o C ci o at n io tr n o l / ( i O nt F e A ra C c ) t / i ons within O Yes 0No
n
H Does the client or related party have any fnancial or other association/ interactions within high risk Dyes No
countries/
L Corporate Documentation Attached (Legal Entities Only) 0 Yes ID No ID Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No la Not Applicable
K. If Lexes/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English summary ci the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? 0 Yes ENO
Is the account structure unusually complex' O Yes FE No
Is there any indication the client set up a non operating company expressly O yes __ No
for the purpose of transferring shares to third parties'
Is there any indication this could be a prohibited business relationship' O Yes E No
SONY_GM_00039709
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CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002533
EFTA_00150318
EFTA01283818

KYC Print Page 8 of 10
Are the bearer shares identified subject to accept** controls' ❑Yes [✓ No
SDNY_GM_00039710
https://dbforcepb.my.salesforeCLINErilEardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002534
EFTA_00150319
EFTA01283819

KYC Print Page 9 of 10
F
M. Cage Comments
ilo records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morns (Signature) 9/4/2013
Paul Morris
Office DrectoriBusiness Head: Brian M. Biggar (Signature) 9/4/2013
Brian M. Biggar
Regional Office Director (Signature)
AML Business Risk
(Signature)
AfIc Corupiirsr
(Signature)
lance Franklin Janice Frankin 9/6/2013
Gwen HO Gwen HP 9)6/2013
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Subdlaricet Team Head
(SMTlf):
ANL Business RiSk:
(SIgnattne)
AML Compliaixe:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(MAD worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing
Professionals)( 1) (CFP 's) should establish and maintain business relationships only with persons who scree our high
standards ofs uitabilioi, background and character. Due diligence obtained on the client must be appropriately
documentedb y the CFP. It is the responsibility ofCFP'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 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 oft he client(s) and that I have followed all the procedures relating to account opening as
described in the PWMA mericas Procedures and the PWM Global KYC Policy
(I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers,
Client Managers, etc.
Deutsthe Sank Amerkas New York
SDNY_GM_00039711
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002535
EF1'A_00150320
EFTA01283820

KYC Print Page 10 of 10
SONY_GM_00039712
https://dbforcepb.my.salesforCQUEIDEgriNitruJiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002536
EF1'A_00150321
EFTA01283821