EFTA01283858.pdf

KYC Print Page 1 of 23
DB PWM GL0BAL KYC/NCA: PART A
KYC Case a : 01133624 Status : 6. Approved
One sheet must be established perrelationshi - fist all accounts Included In the reladonsN
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: I New York
Relationship Manager: Paul Norris
0 New PWM Relationship 10 Existing PWM Relabonshrp
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile:
0 Client Referral 1121 RM Prospect 10 Intermediary/FIN 10 Other Source (CM, etc.)
How Was the Client(s)
Introduced? How long has the Please provide details (e.g. name of referral source, ow many years RM personally h s known cknt, etc.): Jeffrey Epstein is
RM Personal* know, the a current client ci the Bank. Wants to open a new account. Introduction details of Pa I and Jeffrey: Jeffrey Epstein was a chat
client> of Paurs at JP Morgan. Paul and Jeffrey Epstein had mutual friend/colleague who Introduced them while Paul was at
10Morgan. Over the course of a few meetings Paul was able to get Jeffrey to Orin some ci Ns funds over to Deutsche Bank
Does Deutsche Bank pay a 0 Yes I 2 No
retrocession or similar
cornpersabon to a third party
for the introduction of this (It Yes, describe.
relationship>
List all existing and new accounts Involved n this relationship
Legal Entity Account Name / Number Opening Date (Intended/actual)
Account(s)
1 e Hyperion Ai Inc 10/16/2013
2 afir Hyperion Air Inc — Money Market 10/16/2013
3 ri Hyperion At LLC 10/16/2013
4 2 Hyperion Ai LLC — Money Market 10/16/2013
S 2 JEGE Inc 10/16/2013
6 2 JEGE Inc -- Money Market 10/16/2013
7 5 JEGE LLC 10/16/2013
8 12 JEGE LLC -- Money Market 10/16/2013
9 ..%. Plan D, LLC 10/16/2013
10 5 Plan D, LLC -- Money Market 10/16/2013
Who Is the primary contact
person cc the RN> (Note:
Preferred method of cones
This person needs to have Harry Beler
phone no., fax no.,
siratorf rights and/or e-mail address, etc.):
nfamatice right for the
accounts.):
SDNY_GM_00039749
https://dbforcepb.my.salesforcCratNErilDnErlardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002573
EFTA_00150358
EFTA01283858

KYC Print Page 2 of 23
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Hyperion Air Inc Acct. Number (it' avaloYel.
Account Manager: Paul Morris
What is the purposed the account (e.g. portfolio management advisory account, custody services, long-term Investment payment/expense
account)) Checking account to hold the funds necessary for the costs associated imth owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to aethte7
O 08 Group: Same Booking Center (indicate account number):
O DB Group: Other Booking Center (indicate DO location and account deals):
10 Other Institution (Indicate name & locally"): JPMorgan. New York
O Physical ClePlaa (Wetly cash, securtles, cheques,...):
V/hat is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': I/ought) 10
intkwes and outflows pet month ranging from $1,000 to $10000
What Is the expected volume d assets and currency fa the account approx. 90 days after opening' 1 50000 I Currency I USD
What Is the expected volume c( assets and currency for the account approx. one year after openings
1100000 I Currency
I USI)
Don/Will the client have Assets Under Management (AuM) within 08 under Eur. 3/47 Dyes Rik
Please list aN parties related to the account.
For each party:
• Check if a source cf wealth desorption os required for the party.
• Check the appropriate box to describe the relationshi of the party to this account (> I can be selected).
• It none of the check boxes apply, describe the party's relation to the account in the "Other column.
• Always describe the relationship between he parties i the last olumn.
• Please dril down to the ulimateitinclutring Beneficial Owner(s)
_egalbescnptlen AccountOIC Settles of UNInate SignatotyUmitedi9nancial Significant I Grantor/Settbrf-oundingother
Enbtyof Source Solder lOwnerTrusti Beneflcialor Full POA IntermediarySharehokle epresentatve Donor (please
of Wealth Founder a/Omer POA (Fled) (>.=-25%) describe
required Foundation tion-PIC other roles
entity and/or
Parties (indicate indicate
related to ownership rebbomhic
this between
account parties)
I El g A H lf y , p If e lf ren NJ • n u ED Ell El CI O •
2 0 63 E le p f s f t r e e in y — J Li k.1 LI L. j • 0 0
7 O
3 O O B H e a ll r e r r y r L ---' r, El O -1 O O O
SDNY_GM_00039750
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002574
EFFA_00150359
EFTA01283859

KYC Print Page 3 of 23
2. Account Ownership Summary
Account Name: Hyperion Air Inc -- Money Market Acct. Number eln ibble).
Account Manager: Paul Morris
What Is the purposed the account (e.g. poctiobo ma agement, advisory account, custody services, longterm investment, payment/expense account), Money
account to hold the funds necessary for the costs associated wth owning/running one of Jeffrey Epstein's avplanes
Indicate from where the assets are expected to arrive,
O DB Group: Same Booking Center 0rickate account number):
0 DB Group: Other Booking Center (indkate DB location and account detals)
g Ceier Institution (Indicate name & location): jritiorgan. New York
MI Physical Deposits (specify cash, secureles, 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 outfbws per month ranging from $1,000 to $10,000
What Is the expected volume of assets and cwrency for the account approx. 90 days after 1100000 'Currency I USD
ofeolo9'
What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I USD
opening'
DoesAMII the client have Assets Under Management (AuM) within 06 under Eur. 314? Oyes til No
Please 1St all 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 ol the party to this account (> I can be selected).
• !nen of the check boxes apply, describe the partys relation to the account in the 'Other* column.
• Always describe the relationship between he parties i the last olurm,.
• Please dril down to the ultimate/unckrtying Beneficial Owner(s)
_egal5escnpbcn AccountPIC Senior of Ultmate Signatory UmrtecliFmancial Significant ...egal GrantorrSettlorFounding3ther
.innty of Source Holder OwneeTrust/ Benefioalor Full POA IntermediarySilarehokleraepresentatNe Donor (please
d Wealth Founder ciDEMner ?OA (9M) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (indicate indicate
related to ownership relationship
this Yo) between
account "allies)
.
1 O 1Z E J p e s ff t r e e in y i I - — - I I ■ O El a DO El O •
El Hyperion O O • D • O O O
2 a Mr, Inc rcs-i O
3 O O BHeainerY a • • a 5 D O O a a
SDNY_GM_00039751
ps://dbforcepb.my.salesforcalNalaFerlailiAL000000D9Di&e... 7/30/2019
ht t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002675
EF1'A_00150360
EFTA01283860

KYC Print Page 4 of 23
2. Account Ownership Summary
Account Name: Hyperion Air LLC Acct. Number (if atu,:bblet.
Account Manager: Paul Morris
What Is the purpose of the account (e.g. pordoho management advisory account, custody services, long.term investment, paymentiexpense
account)' Checking account to hold the funds necessary for the costs associated wth ownirq/nmning one of Jeffrey Epsteies airplanes
Indicate from where the assets are expected to arrive'
O DB Group: Same Booking Center (inckate account number):
0 DB Group: Other Booking Center (indicate DB location and account detais):
Ell Other Institution (Indicate name & location): WMorgan. New York
ll Physical Deports (wetly cash, saurian, cheques, ...):
What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)' Roughly 10
inflows and outflows per month ranging from 91000 to $L0,000
190000 I Currency I USD
What is the expected volume et assets and currency for the account approx. 90 days after opening'
What is the expected volume of assets and currency fix the account approx. one year after opening? I 10°°0° I Currency I USD
DoesANIN the client have Assets Under Management (AuM) within DB under Eur. 3M? • Yes No
Please list 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 relationship of the party to this account (> 1 can be selected).
• ! non of the check boxes apply, describe the party's relation to the account in the 'Other* column.
• Always describe the relationship between he parties in the last olumn.
• Please dril down to the ultimate/unckrtying Beneficial Owner(s)
_egal npbcn Accou IC Settler of inmate signatory Unto:Financial Significant ..egal Grantor/SettlorFoundingOther
.inbty of Source Holder Dwneenusti genenc eft,'Fun POA IntermediarySharehokkatepresentative Donor (please
of Wealth Founder ciffMner PCA (9M) (>=25%) describe
required Foundation Non•PIC other roles
entity and/or
Parties (indicate indicate
related to xvnership relationship
this vo) between
account parties)
a 0 0 HYPerloril • • El El El El O El
Air, U.0 0
Ej,
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SDNY_GM_00039752
hit ps://dbforcepb.my.salesforCONEADEptadiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002576
EF1'A_00150361
EFTA01283861

KYC Print Page 5 of 23
2. Account Ownership Summary
Account Name: Hyperkin Air LLC — Money Market Acct. Number (if avarArde)
Account Manager: Paul Morris
What Is the purpose ci the account (e.g. portfolio management, advisory account, custody services, long.term investment, payment/expense account)' Money
account to held the funds necessary for the costs associated with owning/running one of Jeffrey Epstein's arplanes
Indicate from where the assets are expected to arrive?
0 DB Group: Same Bo:king Center (inckate account number):
0 DB Group: Other Booking Center (Indicate DB location and account detais):
5 Other Institution (Indicate name & location): )PMorgan. New York
MI Physical Deports (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 1-3
Inflows and outflows per month ranging from $1000 to $L0,000
What Is the emected volume of assets and currency for the account approx. 90 days after 1100000 I Currency I USD
opening'
What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I USO
opening,
DcesAvill the client have Assets Under Management (AuM) within 08 under Eur. 3M, 10 yes 5 No
Please list aN parties related to the account.
For each party:
• Check if a source of wealth descriptkm is required for the Party.
• Check the appropriate box to describe the relationship ci the party to this account (> 1c an be selected).
• f non of the check boxes pply, describe the partys relation to the account In the 'Other' column.
• Always describe the relationship between the parties in the last olumn.
• Please drill down to the ultimate/underlying Beneficial Owner(s)
_egal5eunpbon Accourt'IC Settlor of Ultimate Signatory UmitedPqnancial Significant -eget Grantor/SettlorFoundingOther
Inbtpf Source Molder Dwrierrftust/ Peneficiabr Full POA IntennediaryShareholderRepresentabve Donor (please
of Wealth Founder ceewner ?OA (FIM) (> =25%) describe
equired Foundation Non-PIC other roles
entity and/or
Parties (Indicate indicate
related to ownership relationship
this %) between
account parties)
1 PI g A H ir y , p L e L r C io n i la n U m 0 0 0 0 0 0 0
0 0 9 0 0 0 0 0
2 0 0 BienrY ❑00
3 0 5 E J p e s ff t r e e in y a 1" ' m m 5 9 0 0 • I ini
SONY_GM_00039753
https://dbforcepb.my.salesforeCLINErilEIFATIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002577
EFTA_0015 0362
EFTA01283862

Page 6 of 23
KW Prior
2. Account Owners ip Summary
Account Name: 3EGE Inc Acct. Number Yana:Wei
Account Manager: Paul Mont
What is the purpose ot the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)' Checking account to hoed the funds necessary for the costs associated with ownirighunning one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive'
O DB Group: Same Booking Center (indicate account number):
0
DB Group: Other Booking Center (indicate DB location and account defies):
itr other
.4 Institution (Indicate name 5 location): JI"Morgan. New York
O Physical Deports (specify cash, scourges, cheques, ...):
What is the expected it and frequency of regular Inflows and outflows few the account (inch:ate estimated number and volume per month)," Roughly 10
inflows and outflows per month ranging from $1000 to $10000
150000 'Currency I USD
What is the expected volume d assets and currency for the account approx. 90 days after opening'
1100000 'Currency I uSD
What is the expected volume d assets and currency for the account approx. one year after opening'
DcesnvIN the client have Assets Under Management (Ault) within C6 under Eur. 3M' I yes IA No
account.
Please Ilst al parties related to the
For each party:
• Check We source of wealth description is required for the Petty.
• Check the appropriate box to describe the relationship of the party to this account (> 1c an be selected).
• f non of the Check hours apply, describe the party relation to the account in the -other column.
• Always describe the relationship between the parties n the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
eganescnpbcn AccountPIC Settlor of Jlimate Sagnatorydnxtedtinancial Significant _egal Srantor/Settkir sounding Other
.intity )(Source Holder OwnerTrust / Beneficiala Full >OA Intermedary Shareladderttepresentative Donor (please
of Wealth founder of Owner ?OA ;FIM) (> =25%) describe
required Foundation Non-PIC other roles
artily and/or
Parties (indicate ndicate
related ownership elabonship
to this *) between
account ?mks)
D
1 El 2 In lE c GE, O q D D DI O O D
2 O 5 E J p e s ff t r e e in y r L— i J O O 0 2 O O D O O
3 O • B'leak"r • • O O ksa• • • O II O
SDNY_GM_00039754
Imps://dbforcepb.my.salesforeC6CINEIDEgrNicliA000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002578
EFTA_00I 50363
EFTA01283863

KYC Print Page 7 of 23
2. Account Ownership Summary
Account Name: JEGE Inc -- Money Market Acct. Number frava.itabk,
Account Manager: Paul Morris
What Is the purposed the account (e.g. portfolio management advisory account, custody services, long-term Investment, payment/expense account)' Money
account to kid the funds necessary for the costs associated well owning/running one of Jeffrey Epstein's *planes
Indicate from where the assets are expected to arrive'
0 DB Group: Same Booking Center (inckate account number):
0 DB Group: Other Booking Center (Indicate DB location and account Octets):
J Other Institution (Indicate name 5 locatkri): )PMorgan. New York
0 Physical Deposes (specify cash, secureies, cheques, ...):
What Is the expected it and frequency of regular Inflows and outflows fa the account (ina,cate estimated number and volume per month)? Roughly 1-3
inflows and outflows per month ranging from $1000 to $10,000
1100000 ICurrency 1 USO
What is the expected volume d assets and currency for the account approx. 90 days after opening'
What is the expected volume of assets and currency for the account approx. one year after 1 200000 (Currency USO
opening' I
Does/will the client have Assets Under Management (AuM) within C13 under Eur. 311' I • yes 5 No
Please fist aN parties related to the account.
For each party:
• Check de source of wealth descriptkm Is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1c an be selected).
• f non of the check boxes apply, describe the party' relation to the account In the 'Other column.
• Airways describe the relations* between the parties In the last colunvi.
• Please dril down to the ultimate/underlying Eleneficia Owner(s).
_eganescnpbon AccountPIC Settlor of amate Sagnatorydnutedtinancul Significant .tgal Siantor/Settkir rounding Other
.intity 3( Source Holder OwnerTrust/ Ben/Ida:tor Full PO* Intermediary Shareladderftepresentattve Donor (please
/ Wealth Founder of Tyner ?OA ;FIM) (> =25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (Skate ndicate
related ownership elationship
to this 46)
account rl 1:71se ;
lEGE, 0 D 0
1 2 2 Inc 0 0 0 II 0 0 0
Jeffrey ri Do
2 ID 'a Epstein l---i q 0 2 0 0 0 0 0
3 0 •
B
H
e
a
k
n
r
Y • • • 0q .w 4 • • 0q ill I
SONY_GM_00039755
https://dbforcepb.my.salesforeCCINEIDERALTAL000000D9Di&e... 7/30/2019
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002579
EFTA 00150364
EFTA01283864

KYC Print Page 8 of 23
2. Account Ownership Summary
Account Name: JEGE LLC Acct Number (i1 available)
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, ustody services, long-term investment, paymentexpense
account), Checking account to hold the funds necessary for the costs associated with ownirg/nmning one of Jeffrey Epstern's airplanes
Indicate from where the assets are expected to arrive'
O DB Group: Same Booking Center (inciate account number):
0 DB Group: Other Booking Center (indicate DB location and account deals):
2 Other Institution (Incicate name & locatkn): JPMorgan. New York
• Physical Deposits (specify cash, secureies. cheques....):
What is the expected size and frequency of regular Inflows and outflows for the account (ends.ate estimated number and volume per month)?: Roughly 10
inflows and outflows per month ranging from 91000 to $10,000
150000 I Currency I USD
What is the expected volume d assets and currency for the account approx.90 days after opening'
What is the expected volume of asses and currency for the account approx. one year after opening?
1100000 I Currency I USD
Does/WIN the client have Assets Under Management (AIM) within DB under Eur. 3M? • yes 5 No
Please list al parties related to the account.
For each party:
• Check Ile source of wealth description is required for the O&M.
• Check the appropriate box to describe the relationship or the party to this account (> 1c an be selected).
• (nen of the check boxes apply, describe the party relation to the account in the 'Other* column.
• Always describe the relationship between the parties 'n the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
_egal5escnpbon AccountPIC Senior of Ultimate Signatory_invtedpinancial Significant Legal Srantor/Setticr Sounding Cebu
.inbty of Source Holder OwnerTrust/ Beneficial, Full ?OA ntermedary Shareholdercepresentative Donor (please
of Wealth Founder of Owner >OA ;FIM) (>=25%) describe
required Foundation Non-PIC other felled
entity and/or
Parties 'indicate ndicate
related ownership elabonship
to this %) between
account ?antes)
1 O
O B ma ei e "coo r O E O O O O O
2 E1 2 L le LC ra E, [2] O O O O • O O • O
3 0 2 E J p e s f t f e r ei y n -in • 0 El 5 Il 0 E s II
SDNY_GM_00039756
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ht t
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002580
EF1'A_00150365
EFTA01283865

KYC Print Page 9 of 23
2. Account Ownership Summary
Account Name: JEGE LLC -- Money Market Acct. Number (if avaruhre)
Account Manager: Paul Morris
What Is the purposed the account (e.g. paddle management, advisory account, custody services, longterm investment, payment/expense account)", Money
account to hold the funds necessary for the costs associated nth owning/running one of Jeffrey Epstern's auplanes
Indicate from where the assets are expected to alive
O DB Group: Same Booking Center (inchoate account number):
• DB Group: Other Booking Center (indicate DB location and account ride's)
J Other Institution (Indicate name & location): 3PMorgan. New York
O Physical Deposits (specify cash, murales, cheques, ...):
What Is the expected size and frequency of regular Inflows and oullbws for the account (ma Kate estimated number and volume per month)," Roughly 1-3
inflows and outflows per month ranging from $1000 to $L0000
I 100000 I Currency I USD
What is the expected volume d assets and currency forthe account approx. 90 days after openings
What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I USD
opening'
Doesflnli the client have Assets Under Management (AuM) within Cl3 under Eur. 3M? • Yes 15 No
Please 1St al parties related to the account.
For each party:
• Check Ile source of wealth description is required for the party.
• Check the appropriate box to describe the relationship or the party to this account (> 1c an be selected).
• Inca of the check boxes apply, describe the party relation to the account in the 'Other* column.
• Always descrte the relationship between the parties 'n the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
eganescripbcn AccountlC Senior of Ultimate SignatoryJnytedpmanctal Significant Legal SraMor/Setdor coundingOther
.inbty of Source Holder OwnerTrust/ Beneficial, Full ?OA ntermedury Sharehcidereepresentathe Donor (please
d Wealth Founder of Owner >OA ;PIM) (>=25%) describe
required Foundation Non-PIC ether roles
entity and/or
Parties 'indicate ndicate
related ownership relatornhip
to this N))
account erttivieest)n
ma, E O O
1 a 0 LLC O O O O C O O
E?I a E3 • O O O O
2 O Ejepsf ftreeiYn O OO
3 O O BienrY • • O O vwi.l • O O O •
SDNY_GM_00039757
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EFTA_00150366
EFTA01283866

KV(' Port Page 10 of 23
2. Account Ownership Summary
Account Name; Plan D, LLC Acct. Number Of avadabky.
Account Manager: Paul Morris
What is the purpose et the account (e.g. portfolio management, advisory account, custody services, long-term Investment, payment/expense
account)'' Checking account to hot the funds necessary for the costs associated with owning/ninning one of Jeffrey Epstein's airplanes
Indicate from where the asset are expected to arrive>
O
DB Group: Same Booking Center (bnckate account number):
ED
DB Group: Other Booking Center (indicate DB location and account defies):
itr
.4 other Institution (Indicate name & location): JPMorgan. New York
II Physical Deports (specify cash, secureies, cheques, ...):
What Is the expected size and frequency of regular Inflows and outflows fa the account (ma sate estimated number and volume per month)," Roughly 10
nfbws and outflows per month ranging from $1000 to $L0,00
150000 ICurvency
What is the expected volume d assets and currency fce the account approx. 90 days after opening? I USD
1100000 I Currency
What is the expected volume d asset and currency fce the account approx. one year after opening> I DSO
Does/NIN the client have Assets Under Management (AuM) within C6 under Eur. 3/1> • yes 5 No
Please list al parties related to the account.
For each party:
• Check If source of wealth description is required for the ant.
• Check the appropriate box to describe the relationship of the party to this account (> 1c an be selected).
• f none of the check bares apply, describe the party relation to the account in the 'Other' column.
• Always descnbe the relationship between the parties n the last column.
• Please drill down to the ultmate/undertying Beneficial Owner(s).
_eganescripbal AccountPIC Settlor of Jlbrnate Sagnatorydnutedtinancul Significant .tgal GraMor/Setbor Sounding Other
Entity of Source Holder OwnerTrust / Beneficiallor Full PO* Intermediary Sharetaiderftepresentathe Donor (please
/ Wealth Founder of Tyner ?OA :EIM) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (indicate ndicate
related ovaxrship elabonship
to this *) between
account ?artles)
0 O
2 2 Plan D, O O O O a O O O
I LLC
Do
2 O a E J p e s ff t r e e in y rL—iJ 9 74 O O O O O
e
3 0 • B H e a ll n e Y r • • • 0 ta • • 0 II 0
SDNY_GM_00039758
hops://dbforcepb.my.salesforeCLINEICalidiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002582
EFTA_00150367
EFTA01283867

KYC Print Page 11 of 23
2. Account Ownership Summary
Account Name: Plan D, LLC — Money Market Acct. Number (11a vailable.
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, bng-term Mvestment, payment/expense account)' Money
Market account to hold the funds necessary for the costs associsted with owning/running one of Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive'
O DB Group: Same Booking Center (Indicate account number):
0 DB Group: Other Booking Center (indicate DB location and account defies):
14 Other Institution (Indcate name & location): 3PMorgan. New York
O Physical Deports (specify cash, securties, cheques, ...):
What is the expected size and frequency of regular Inflows and outflows fa the account (roc cate estimated number and volume per month)? Roughly 1-3
inflows and outflows per month ranging from $1000 to $10000
What is the expected volume of assets and currency for the account approx. 90 days after 1100000 ICunency
opening' I USD
What is the expected volume of assets and currency for the account approx. one year after 1200000 I Currency I WO
opening'
Does/wiN the client have Assets Under Management (AuM) within Ce under Eur. 3M' II Yes 8 No
Please list all parties related to the account.
For each party:
• Check We source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1c an be selected).
• f none of the check boxes apply, describe the party relation to the account In the 'Other' column.
• flays descnbe the relationship between the parties b the last colony,.
• Please drill down to the ultimate/underlying Beneficia Owner(s).
_eganescnpben AccountPIC Settlor of Jitirnate SagnatoryLinetedtinandal Significant .tgal Grantor/Settler Sounding Other
Entity )(Source Holder OnnerTrust/ Beneficiallx Full PO* Intermedary ShareladderftepresentatNe Donor (please
/ Wealth Founder of Tyner ?OA :FIM) (>=25%) describe
required Foundation Non-PIC other roles
eddy and/or
Parties (indicate ndicate
related ownership elabonship
to this *) between
account ?arks)
Plan D, 0 O O
I IR 2 LLC O O O • O O O
Jeffrey D o
2 D 74 Ep stein rL—iJ q 0 E;?1 O O O O O
3 O • BHeakr " • • O O 5 • iii O • O
SONY_GM_00039759
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershlp Summa
3A. Individual Details (for all parties)
Individual's Name: Jeffrey Epstein - Date of Birth: 1/20/1953
Country of Residence: USVI Country of Citizenship: USA
Has dent resided outside of
lite Saint James Saint Thomas 03802 US Virgin Islands his/her county of nationality Dyes ®up
Address of primary residence:
for 5 years or more'
Profession/Occupation: Self Empolyed Tax ID / 55N:
Current Employer: Southern Financial LC Polltattallae/Rank: President
Address of employer: St Thomas USVI 00802
Does the person work as senior executive of a DB-recognized regulated entity In the financial n
ONO
ndustry' or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles "Ye.
0
Is the individual a Politically Exposed Person (PEP)>(f res, desrnbe) ElYes No
To the best of your knowledge, is the individual related to an employee of the DB group>(f DFarnly OFriendship None
Rini!' or Friendship, descnbe)
To the best of your knowledge, is the indnidual party to a non-banking relationship with El No
Deutsche Bank (e.g., external legal counsel, dent referral source, suppler of goods or O Yes
servkes)'(i• Parksarte)
If applicable, indicate which bank officers have met the Indicate where and when the c rent meeting(s) took place:
person:
Oient Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (specify). Date:
Domicile: Business:
• • O
O O O
ri O O
O Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source or wealth dm:kirks, 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'
Suns ante Source of Wealth: 2 Business Owner O Salary/Earnings 0 investment O Inheritance/Gate 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each of the somas: (e.g. For trusts, how did settlor accumulate wealth' For inheritance,
how did (amity accumulate wealth?For business OWnerS, how long in business, how many employees, level of profitabilty? Indicate type of business, countries
of major activities, important business partners.) Epstein bega his financial career in 1976 as an options trader at Bear Stearns and became a partneri n
1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., inanagng the assets of clients with more than a billion in net worth. In
19%, Epstein changed the name of ha firm to The Financial Trust Company and based it on the island of St Thomas in the US Virgin Islands. All of his clients
were anonymous except for the very wealthy businessman Leslie Wexner. Its wealth has come from his days at Bear Steams and hs financial management
firms
Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): 5100 MM - 500 Mal
Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to Invest with PWM(S):
Other Known Financial Institutions:
Institution: JOMorgan County: USA Est. Assets tMder Mgt: 230,000,000.00
SONY_GM_00039760
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Institution: Canby: Est Assets Under Mot:
Institution: Country: Est Assets Under Mot
Please mdkate the family situation of the individual (marital status, other (amity members, etc.):
SONY_GM_00039761
ps://dbforcepb.my.salesforcaINEJIDrlailiAL000000D9Di&e... 7/30/2019
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Harry Beier - Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Has dent resided outside of
Monsey NY 10952 USA his/her country of nationality O Yes g6 No
Address of primary residence:
fee S years or more/
Profession/Occupation: Accountant Tax ID / SSN:
Current Empbyer: HBRK Associates, Inc POSlikePlUeiltank:
Address of employer: New York NY USA 10022
Does the person work as senior executive of a DB-recognized regulated entity In the financial n
ndustrr or an entity hsted on a CB-recognised exchange' (Not smokable for operating entitles q Yes OS
Is the individual a Politically Exposed Person (PEP)?(d Yes, describe) OYes gal No
To the best of your knovAedge, is the individual related to an employee of the DS groupW OF:amity O Friendship EA None
IStrub, or Friend:hp, describe)
To the best of your knowledge, is the individual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes 10 No
SCIVICtS)7(0 Yettirkfente)
If applicable, indicate which bank officers have met the Indicate where and %%hen the c ent rreebng(s) took place:
person:
Cient Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speedy): Date:
Domicile: Business:
Paul Morris E1 ID R 9/13/2013
O O O
LI O O
O wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wean description as indkated in Section 2)
Nature of the Indivlduars Business:
Primary Country of source of wealth/source of Funds'
Primary industry of source of Weakli/Source of Funds'
Surnmarte Source of Wealth: O Business Owner O Salary/Earnings O investmem O Inheritance/Gifts 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance,
how did fanly accumulate wealth?For business owners, how long in business, how many employees, level of prolitaterty? Indicate type of business, countries
of major activities, important business partners.)
Estimated Annual Incoine(S): Estimated amount d Investable assets(S):
Estimated Net Worth(S): Amount of assets planned to nvest with PV/M($):
Other Known Financial Institutions:
Institubon: Country: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt
Institution: Countiy. Est. Assets Under Mgt.
SDNY_GM_00039762
Imps://dbforcepb.my.salesforCCINElacchtirdiA10000000D9Ditice... 7/30/2019
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Please indicate the family sedation of the individual (marital status, other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For al Legal Entities)
Legal Entity Name: Hyperion Air, LLC •
O FoundatIon/Association O Trust Ed Company O Estate -A Private Investment O
Type of Entity: Purpose Of Entry: phsanthropic/Ourilable 0
O Partnenlin
Committee
Purpose of Entity
Type d Entity Other (specify):
Other (specify):
Date of
County of US virgin Islands 10/19/2012
incorporation /
Incorporation/registrabon:
registration:
Volcker Status: Vokker Flag:
Address (city, street, post St Thomas 00802 USVI US. TIN/EIN:
code):
Provide a description of the entIlYs organizational structure, its ownership structure and its Top Management. For trusts/foundations, include inforrnatko about
revocabeity,settlor and benefkiaries,etc.:
Single member LLC. Jeffrey Epstein is sole member/owner
Please rdkate how ownership of the legal entAy is reflected: Single member U.C. Jeffrey Epstein is sole member/owner. Initial capital contribution of $1,000
from Jeffrey Easter
O Special attention: Bearer Shares • Indicate where shares are custodied:
Describe the chain from the Sect owner of the entity to the ultimate beneficial owner (if of me same persons) Single member U.C. Jeffrey Epstein is sole
member/owner
To the best of your knowledge, is the entity party to a no banking relationship with Deutsche rn
Bank (e.g. external legal counsel, client referral source, supplier of goods a services)* Yes L.1 No
Describe Nature of Entity's Millar/ Business and Investment Activities
This is a company famed to hold funds fa the taxes and payment of one of Jeffrey Epsteln's
Nature of the business: airplanes. This U.0 as formed to eventually take over payment fa Hyperion Air Inc. Pt/Perim
Alt Inc will be closed within a year
Countries where business is transacted: USA, USVI
Number of employees: 1
3D. Wealth Prete (Only for parties rowing source of wealth description as 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 Asset (e.g. balance sheet a equivalent summary of assets/habil:les):
This is a company foamed to hold funds for the taxes and pa ment of one of Jeffrey Epstein's airplanes. This LLC was formed to eventually take over payments
for Hyperion Air Inc. Hyperion Air Inc will be closed within a year. Initial capital contribution of $1,000 from Jeffrey Epstein. AN funds fa this company come
croon Jeffrey Epstein's source of weattu.
Estimated gross receipt pa.(5):
Estimated net Profit P.a. (5):
Estimated investable asset (5): <51 MM
Potential Amount to be Invested With PWM (5): 300,000.00
Other Known Financial Institutions:
Institution: JPMorgan County: USA Est Asses Under Mgt 300,000.00
Institution: Country: Est Assets Under mgt
SDNY_GM_00039763
Imps://dbforcepb.my.salesforcartaNEJIDEschiltiA14000000D9Di&e... 7/30/2019
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Institution: I County: IEst. Assets Under Mgt
I
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For at Legal Entitles)
Legal Entty Name: Plan 0, LLC -
0 Foundation/Assiziation • Trust Company El Estate Prrvate Investment 0
Type of Entity:: purposedEntity: Philantiropic/Chantable 0
0 Partnership
Commercial
Purpose of Emily
Type of Entity Other (specify):
Other (specify):
Date of
Country of US Virgin Islands 10/19/2012
reincorporatk /
iinnccoorrppoorraattiioonnn//rreeggiissttrraattiioonn::
gistration:
Vokker Status: Vokker Rag:
Address (city, street, post St, Thomas 00902 USVI US. TIN/EIN:
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundabons, include nformation about
rewkabdiy,setlior and beneficiaries,etc.:
Single member li.C. Sole member is Jeffrey Epstein
Please indicate how ownership of the legal entity is reflected: Single member LLC. Sole member is Jeffrey Epstein. Initial capital contribution of $1,000 by
Jeffrey Epstein
0 Special attention: Bearer Shares • Indicate where shares are custodied:
Describe the chain from the Erect owner of the entity to the ultimate beneficial owner (if nee die same persons) Single member U.C. Sole member n Jeffrey
Epstein
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, supplier of goods or services)? Yes • No0
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: I1C created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes
Countries where business Is transacted: USA, USVI
Number of employees: 1
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 WeatIVSource of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asselowilabities):
11C created to hold funds to pay for costs associated with on of Jeffrey Epsteln's planes. Initial contribution of $1,000 from Jeffrey Epstein and all source of
unds cane from Jeffrey Epstein.
Estimated gross receipts p.a.($):
Estimated net profit p.a. (5):
Estimated investable assets ($): <$1 MM
Potential Amount to be invested wit PINM (5): 300,000.00
Other Known Financial Insttutions:
Institution: JPMorgan Country: USA Est Assets Under Mgt: 300,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
I
SONY_GM_00039764
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3C. Legal Entity Details (For a Legal Entitles)
Legal Entity Name: Hyperion Mr, Inc •
im
a Foundation/Association OTrust RI Company Oq Estate Private Investment
Type of Entity: Purpose of Entity:
0q Partnership Philanthropic/Charitable O
Commercial
Purpose of Entity
Type of Entity Other (specify):
Other (specify):
Date of
Country of USA 7/18/1991
incorporation /
incapxation/regkstration:
registratkn:
Volcker Status: Volcker Rag:
Address (city, street, post St, Thomas 00802 USVI US. TIN/EIN:
cede):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusbrYoundabons, include information about
revoreabillY,Setikir and beneficiarksetc.:
Jeffrey Epstein is President and sole owner.
Please Skate how ownership of the legal entity is reflected: Jeffrey Epstein is President and sole owner. Owns 100 shares
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 (ifn ot me same persons) Jeffrey Epstein is President and sole owner.
To the best of your knowledge, is the entity party to a non-banithig relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, suppler of goods or sereices)i: yes O No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein.
Countries where business is transacted: USA, USVIrgin Island
Number of employees: 1
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 Wealth/Source of Funds>
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/habil:les):
MI funds foe ties LLC come from contributions of the president and sole owner, Jeffrey Epstein.
Estimated gross receipts p.a.(S):
Estimated net profit p.a. (5):
Estimated investable assets (S): <S1 MM
Potential Amount to be invested with PWM (5): 300,000.00
Other Known Financial Instibtions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 300,000.00
Institution: Country: Est. Assets Under Mgt
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Somme
3C. Legal Entity Details (For al Legal Entities)
Legal Entity Name: JEGE, Inc 00000487244
Type of Entity. Pun pose of Enbty:
SONY_GM_00039765
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O Foundation/Assopabon O Trust & Company El Estate n Private Investment El
r
Lj Partnershp Philanthropic/Charitable O
Commercial
Purpose of Entity
Type of Entity Other (specify):
Other (speedy):
Date
Country of USA incorpoofratson / 9/7/2000
incorporation/registration:
registratlen:
Vokker Status: Vokker Flag:
Address (city. street, post St, Thomas 00802 USVI U.S. WEIN:
code):
Provide a description of the en ity's organizational structure, Its ownership structure and its Top Management. For trints/YoundatIons, include information shod
revocainty.settior and beneficiaries,etc.:
Jeffrey Epstein is the sole owner.
Please ndicate how ownership d the legal only Is reflected: Jeffrey Epstein Is the sole owner. 100 shares have been Issued. All waled by Jeffrey Epstein
C.1
Special attention: Bearer Shares - Indicate where shares are custodled:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (Jena me same persons). Jeffrey Epstein Is the sole owner. 100 shares
have been issued. Ail owned by Jeffrey Epstein
To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche ,—,
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)? Yes LJ No g]
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Holds funds to pay for costs associated with an airplane owned by Jeffrey Epstein.
Countries where business is transacted: USa, USVI
Number of efoolnYtts: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of nonce of wealth/source of Funds'
Primary industry of source of Wealth/Source d Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet a equivalent summary d assetsiltabities):
AN corporate funds/assets cane from contribution by the sole owner, Jeffrey Epstein and his source of wealth
Estimated grass receipts pa.($):
Estimated net profit pa. (5):
Estimated investable assets ($): .: Si MM
Potentml Amount to be invested worth PWM (5). 300,000.00
Other Known Financial Institutuns:
Institution 3P1Morgan Counby: USA Est. Assets Under Mgt: 300,000.00
Institution: Country': Est. Assets Under Mgt:
Institution: Country: Est. Assets Under hlgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For al Legal Entities)
Legal Entity Name: JEGE, LLC -
EO
O Foundation/Association E.] Trust company O Estate
Typed Entity Purpose of Entity:
O Partnership
SDNY_GM_00039766
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Purpose of Entity
Type of Entity Other (specify):
Other (specify):
Date of
Country of USVI 10/19/2012
incorporation /
incerporation/registration:
tegkitation-
Vokker Status: Volcker Flag:
Address (city, street, post St, Thomas 00802 USVI U.S. TIN/EIN:
code):
Provide a description of the entity's organizational structure, Its ownership structure and As Top Management. For trusis/foundatons, include informatics, about
revocabdity,setdor and beneficiaries,etc.:
Single member LLC. Jeffrey Epstein is the sole member
Please indicate how ownership ci the legal ditty is reflected: Single member LLC. Jeffrey Epstein is the sole member. Initial capital contribution of $1,000 by
Jeffrey Epstein
0 Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the drect owner of the entity to the ultimate beneficial owner (itn ot the same persons): Single member U.C. Jeffrey Epstein is the
sole member
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, suppler of goods or sentices)>: Yes IN NO 74
Describe Nature of Entity's Primary Business and Investment Activities
This is a company formed to hold funds fate taxes and payments of one of Jeffrey Epstein's
Nature of the business: airplanes. This LLC was formed to eventually take over payments for JEGE Inc. JEGE Inc will be
dosed within a year
Countries where business is transacted: USA, USVI
Number of employees: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Secton 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 summary ci assets/liatdtres):
Initial funding of $1,000 from sole member Jeffrey Epstein. All corporate assets come from contributions made by the sole owner
Estimated gross receipts pa.($):
Estimated net profit p.a. ($):
Estimated investabk assets ($): <$1 MM
Potential Amount to be invested with PWM (5): 300000.00
Other Known Financial Insteutions:
Instils:ton: JPMorgan Country: USA Est. Asset Under Mgt 300,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00039767
https://dbforcepb.my.salesforcalNErilEaTIAL000000D9Di&e... 7/30/2019
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booldng Center El NY El E ceshore Risk0 Moderate ©High Risk illcoluellne tightnollY
NY/ Offshore
(Complaint Signature)
• DB Employee 0 DB Managed PIC 0 06 Is Trustee/Co-Trustee 0 Bearer Shares
4. Attachments
A. Type of Photo ID Provided !FA Drivers License 0 Passport ONattnal/State ID 00ther
Checldist of names (Individuals and/or entitles) that were submitted for database searches is
B. attached r 0 No
C. Please Indicate the results of the database searches performed
MK searches complete 2 Yes ONO negative results found RlYes 0 No
PCR checks complete 0 yes C No negative results found yes • No
OFAC checks complete 5 yes C No negative results found Oyes 121 No
BIS searches complete (Lesls/Neocis, Factiva, Reuters, Dow Jones, CAB) 5 yes Dew negative results found Dyes El No
Denial Orders checks complete 2 Yes 0 NO negative results found Oyes El No
Martindale-Hubbell searched (Lawyers/taw Firms only) Oyes R No negative results found 0Yes • No
Please summarize any negative results from the database searches Wombed above: HYPERION MR DC:
No negative media
No court cases
HYPERION AIR LLC:
No negative media
No court cases
JEGE INC:
No negative media
No court cases
JEGE LLC:
No negative media
D. No court cases
PUN D LLC:
No negative media
No court cases
HARRY BELLER:
Negative Media: Not our client All negative media pertains to an emiraimental microbiologist Our clients an accountant
Court Cases:
II: Disposed In 1967
Al other cases are not our client. The other court cases refer to a Dr. Many Biller. Our dent is an accountant
JEFFREY EPSTEIN:
Previously KYCd and approved hi: and
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 2 Yes 0 No
To the best of your knowledge, has the customer ever been involved in any past litigation against
Deutsche Bank AG or any of Rs subsidiaries a is the customer threatening erlsation against
F. Deutsche Bank AG or any of Is subsidiaries? (II Yes, provide Marls *Mar and contaa' ()wifely Mgt. 0 Yes ®No
(LatWIntl) or the Regulatory Contra' &ow and notify Compianceimmediatey)
Does the client or related party have any financial or other association / Interactions within
G. countries a regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes @ No
SDNY_GM_00039768
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H. 0 yes RI No
Does the client or related party have any financial or other association/ interactions within high risk
countries'
I. Corporate Doc urnentabon Attached (Legal Entities Only) Ed Yes O No • Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No ®Not Applicable
K. If Leds/Nexis Search Results, Corporate Documents or Other Supeatrng Documentation is not 4' English, please provide an English summary of the
nature/contents Oft non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries' Dyes ENO
Is the account structure unusualy maples' Oyes EZ No
Is there any indication the client set up a non operating company expressly O yes g No
for the purpose of transfening shares to third parties'
Is there any indication this could be a prohibited business relationship' Oyes k2 No
Are the bearer shares Identgled subject to acceptable controls' O Yes E No
SDNY_GM_00039769
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M. Cate Comments
Created By Date Comments
Brian Biggar 10/4/109:560f See KYC fir Ink and research re leer/ Epstein
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris i(Signature) 10,3/2013
Paul Morns
Office Diector/Business Head: Brian M. Biggar (Signature) 10/4;2013
Bean M. Biggar
Regional Office Director. (Signature)
MIL Business Risk:
(Signature)
MIL Compliance:
(Signature)
Janice Rankin Janice Frankln 10/17/2013
Jacqueline Ughtbody Jacqueline Ughtbody 10/17/2013
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager (Signature)
Global Market Team Head (Signature)
(GkITH)JSubi Market Team Head
.(SMT11):
NIL Business Risk:
(Signature)
MIL Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing
Professionals)( l) (CFP's) should establish and maintain business relationships only with persons who sari* our high
standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately
documentedb y the CIT. 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 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 PWA4 Americas Procedures and the PWM Global KYC Policy
SDNY_GM_00039770
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(I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers.
Client Managers, etc.
Deutsche Bank Americas New York
SONY_GM_00039771
https://dbforcepb.my.salesforCCINtErilDaiLIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002595
EFTA_00150380
EFTA01283880