EFTA01283897.pdf

KYC Print Page I of 14
DB PWM GLOBAL KYC/NCA: PART A
KYC Case a : Status : 6. Approved
One sheet must be established per relationship - list all accounts Included in the relationship
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATICNSHIP Booking Center: New York
Relationship Manager: Paul Mont
O New OWN Relationship El Ensbng PWM Relationship
Relationship to PV/M:
If existing, pl I e since when the relationship exists provide reason for new profile and attach old profile: Update of
approved KYC Update Is ONLY to add aditional authorized signer. Harry Beier has already been KYC approved In
case Please rush as this tie simple update
. Client Referral 2 RM Prospect O Intermediary/FIN O Other Source (CIB, 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 has know dent. etc.): Jeffrey Epstein is
RM personally known the a current client d the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client
client' of Paufs at JP Morgan. Paul and Jeffrey Epstein had mutual fnend/colleague who introduced them while Paul was at
JONorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank
Does Deutsche Bank pay a O Yes 12 No
retrocession or similar
compensation to a third party
for the introduction of this (if yes, &escor)
relationship'
List all existing and new accounts involved ri this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
9
1 Jeepers Inc 9/18/2013
2 2 Jeeper Inc 9/16/2013
Who Is the primary contact
person for the RN' (Note:
Preferred method of contact
This person needs to have Jeffrey Epstein
(ndicate phone no., fax no.,
signatory rights and/or
e-mail address, etc.):
kiforrnaticn right for the
accounts.):
SDNY_GM_00039799
https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002623
EF1'A_00150408
EFTA01283897

KYC Print Page 2 of 14
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: leepers Inc Acct. Number (if wadable):
Account Manager Paul Moms
What is the purpose of the account (e.g. pordobo management, advisory account, custody services, long-term investment, payment/expense
account), Checking account for leepers 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 DB location and account detalis):
R
Other Institution (Indicate name & locator* WMorgan Chase. New York, NY
O Physical Deposals (Weary cash, securities, cheques....):
What Is the expected size and frequency of regular Inflows and outfbws for the account (indicate estimated number and volume per month)? Roughly 5-10
Inflows and outlaws per month ranging from $1,000 to $10,000
Currency
What is the expected volume of assets and currency for the accent approx. 90 days after opening, I I I USD
'Currency I uSD
What is the expected volume d assets and currency fa the account approx. one year after opening, I 5°P®
Does/VAN the client have Assets Under Management (Aunt) within CO3 under Eur. ? U Yes E No
Please list all parties related to the account.
For each party:
• Check if a source d wealth desorption 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 patty relation to the account In the "Other column.
• Always describe the relationship between the parties n the last column.
• Please die down to the ultimate/underlying Beneficial Ovmer(s .
_egal notion AccounWPlC of Jibmate Sgnatory_I naixtal Significant {gal Sian /SettkeFounding Odle
Entitynt Source Holder OwnerTrust / Beneioalor Full ?OA intermediary Shareholdeflepresentatve Donor (please
/ Wealth Founder of >ernes POA (FIN) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (bdkate ndicate
related ownership elationship
to this 16) *Olsten
account >attics)
'ewe' El • O O O O O •
I Inc O O
2 0 2 E J p e s ff i r z e in y rI—, I 0 0 Il sar 0 0 I 0 I
sa O o o 0 •
3 O O BHeaienYr O • O •
Jeanne
4 O O Brennan • • O O 121 O • O O O
SDNY_GM_00039800
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002624
EFTA_00150409
EFTA01283898

KYC Print Page 3 of 14
2. Account Ownership Summary
Account Name: kePers Inc Acct. Number (I avaiatiel
Account Manager: Paul Mors
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 leepers Ines cash.
Indicate from where the assets are expected to arrive?
0
DB Group: Same Booking Center (innate account number):
0 DB Group: Other Booking Center (Indicate DB locate, and account deals):
.F4e other Institution (Imitate name a location): 1PMorgan Chase. New York, NY
0 Physical Depots (specify cash, secureles, cheques, ...):
What is the expected it and frequency of regular Inflows and outflows for the account (irairate estimated number and volume per month)," Roughly 1-2
inflows and outflows per month ranging from $1,000.$10,000
'Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening, I
1150,000 I Currency
What is the expected volume of assets and currency for the account approx. one year after opening? I USD
DoesfvIN the client have Assets Under Management (AuM) within CS under Eur. 3M, II Yes 7) No
Please list aN parties related to the account.
For each party:
• Check Ile source of wealth descriptkm is required for the Party.
• Check the appropriate box to describe the relationshi of the party to this account (> 1c an be selected).
-other
• f non of the check bares apply, describe the party relation to the account in the column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
_egalbescnpbon AccounWPlC Senor of inmate Signatorysneedhnanaal Significant /gal Stantor/Settlatounding Oth et
.intity of Source colder Ormertrust/ generic/aloe Full PO* Intermediary ShareholdergePiesentathe Donor (please
of Wealth rounder of Owner POA (FIN) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (ndkate ndkate
related ownership elatimship
to this %) between
account sorties)
2 0 0
i 9 9 the per/' 0 • 0 0 0 0 •
0 0
2 0 IZA E J p e s ff t r e e in y I r " i 0 a 0 0 0 0 0
3 0 0 BK aelrlerr( • •❑ 0 IIII 5 • • 0 0 MI
4 0 0 B J r e e a n n n n a e n r" q -i • • 0 9 0 0 • 0 0
SDNY_GM_OOO398O1
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002625
EFTA_001504I0
EFTA01283899

KYC Print Page 4 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's !tame: Jeffrey Epstein - Date of Birth:
country of Residence: USVI Country of Citizenship: USA
Has dent resided outside of
Lite Saint James Saint Thomas 00802 US Virgin Islands his/her county of nationality MI yes 12] No
Address of primary residence:
for 5 years or more>
Pidession,Occupation: Self Empolyed Tax ID / 5511:
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer:
Does the person work as senior executive el a De-recognized regulated entity in the financial ri __ pm
Yes
ndustry' or an entity listed on a D8-recognised exchange? (Not appkabk for operating entities i--i
Is the individual a Politically Exposed Person (PEP)/(if Yes, describe) Ehes E?) No
To the best of your knowledge, is the individual related to an employee of the DB group'(‘ [3 Family 0 Friendship 5 None
Farn4, or rnencWup, desathe)
To the best of your knowledge, is tie individual party to a narbanking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes J No
servkes)>(if YeArfescribe)
If applicable, indicate which bank officers have met the Indicate where and when the client meebng(s) took place:
Perkin:
Bank Officer Names) Bank Office: Client Pilate Client Placed Other Location (specify): Date:
Domicile: Business:
Paul Morris El • 0 8/7/2013
Li 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 parties requiring source of wealth description as Indicated in Section 2)
Nature of the Individual's Business: Private investments
Nimbly Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Soutce of Funds'
Summarize Source of Wealth: Z Business Owner O Salarygamings RII nvestment O Inherftance/Glfts 00ther.
Further Describe Source of liVealth /Detail the history of wealth or each of the sowers: (e.g. For trusts, how did setter accumulate wean' For inheritance,
how did family accumulate weath?For business owners, how long in business, how many employees, level of profitabilky? Indicate type of business, countries
of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a parberi n
1980. In 1982, Epstein founded his own finandal management firm, J. 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 of St. Thomas in the US Virgin Islands. All of his clients
were anonymous except for the very wealthy businessman Leslie Wexner. /Os 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 assets(S): S50 WI • 100 Mk
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to Slyest with FWM(S):
Other Known Financial Institutions:
Instibition: JPMorgan Chase Country: USA Est. Assets Under Mgt: 20000,000.00
SIDNY_GM_00039802
https://dbforcepb.my.salesforeCCINErilDaatiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002626
EFTA_00I504I
EFTA01283900

KYC Print Page 5 of 14
Institution' Country: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
Mease indicate the family situabon of the mein/I.:Nal (marital status, other (amity members, etc.): Single
SDNY_GM_00039803
ps://dbforcepb.my.salesforcOrtaNEJIDEArdiAL000000D9Ditice... 7/30/2019
t
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002627
EFTA_00150412
EFTA01283901

KYC Print Page 6 of 14
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:
County of Residence: USA County et Cttrenship: USA
Has dent resided outside of
Address et primary residence: his/her country of nationality MI yes W No
for 5 years or more>
PicifessioniOccupation: Accountant Tax ID / 5511:
Current Employer: HBRK Associates, Inc Position/Tele/Rank:
Address of ernPloYet: 575 Lexington Avenue, 4th Roor Money NY USA 10022
Does the person work as senior executive el a De-recognized regulated entity In the financial ri __
ndustry' or an entity listed on a CEI-recognised exchange? (Not appkabk for operating entities t—iles L7-1I4°
Is the individual a Pobbcally Exposed Person (PEP)'(if Yes, desenbe) Oyes FA No
To the best of your knowledge, is the individual related to an employee of the D8 groupW 0Family 0 Friendship rf None
raIII4' or &rends/up, denote)
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 J No
serykes)'(tf Yescfescribe)
If applicable, indicate which bank officers have met the Indicate where and when the client meebng(s) took place:
Perkin:
Ghent Hyatt Client Flare of
Bank Officer Names)(s) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris RI • O 10/21/2013
L..: O O
D • 0
0Wealth Details for this indMdual are not filled in, because they are the same n for the following person:
38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds'
Primary indusby of source of Wealth/Source of Funds'
Summarize Source of Weary 0 Business Owner 0 Salary/Eamings 0 Investment 0 Inherttance/Gifts 00ther:
Further Describe Source of Wealth /Detail the het:cry of swath or each of the sowers: (e.g. For trusts, how did setbor accumulate weami' For Inhentance,
how did family accumulate weath?For business owners, how long in business, how many employees, level of profitabilty? Indicate type of business, countries
of mayor activities, important business partners.)
Estimated Annual Income(S): Estimated amount d Investable asset(s):
Estimated Net Worth($): Amount d assets planned to Swat with PWM(5):
Other Knower Financial Institutions:
Institution: Country: Est Asset Under Mgt:
Est
Institution: Country: Asset Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SONY_GM_OOO398O4
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002628
EFTA_00150413
EFTA01283902

KYC Print Page 7 of 14
I I
Please Skate the family deaths of the Individual (nartel stabs, other tinily mothers, etc.):
SDNY_GM_00039805
INI ps://dbforcepb.my.salesforCCINEJIDEJNIIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002629
EF1'A_00150414
EFTA01283903

KYC Print Page 8 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeanne Brennan Date el Birth:
country of Residence: USVI Country of Ctuenship: USVI
Has dent resided outside or
his/her country of nationality Eyes 5 No
Address of primary ressdenCe:
Ice 5 years or more
Profession/Occupation: Finance Tax ID / 5511:
Current Employer: Southern Financial, LLC Position/Title/Rank:
Address of employer: 6100 Red Hook Quarter, B3 St Thomas USVI 00802
Does the person work as senior executive of a DB-recognised regulated entity In the financial ri__ cyri
ndustre or an entty listed on a CB-recognised exchange' (Nat spoke* for operating entities ❑t--3 les rz-I NO
Is the individual a Pditically Exposed Person (PEP)'(if Yes, desrnbe) O Yes E4 NO
To the best of your knowledge, is the individual related to an employee of the DB group(ri 0Family 0 Friendship rd None
ram* or rnencWup, descnbe)
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 u in n d s i e v l i , d c u l a ie l n p t a r r e ty fe t r o r a a l s n o c u e r . c b e a , n s k u n 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 I: Yes J No
servkes)'fr res,eksenbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Ghent Private Client Place d
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domicile: Business:
O • O
O
O O
a 0 0
0 Wealth Details for this indwklual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for patties requiring source of wealth description as Indicated in Section 2)
Nature or the Individual's Business:
Primary Country of source of wealth/source of Funds'
Primary industry of source of Wealthraource of Funds'
Summarize Source of Weary 0 Business Owner 0 Salary/Eamings D I nvestment 0 Inheritance/Gets 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each of the scores: (e.g. For trusts, how did seltor accumulate wealth" For inheritance,
how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of profitatdty? Indicate type of business, countries
of major activities, important business partners.)
Estimated Annual Incorne(S): Estimated amount d Investable assds(S):
Estimated Net Worth($): Amount of assets planned to nest with PWM(S):
Other Known Financial Institutions:
InstlbAlon: Country: Est. Asset Under Hgt:
Instilartion: Country: Est Assets Under Mgt:
Institution: Country: at. Assets Under Mgt:
SON Y_GM_00039806
https://dbforcepb.my.salesforeCCINErilEaTIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002630
EFTA_00I504I5
EFTA01283904

KYC Print Page 9 of 14
Please indicate the family situation 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: Seegers, Inc
El 0 Private Investment O
OFoundation/Association O Trust Company O Estate
TYPe of Entity: Purpose of Entity: Philanthropic/Charitable 0
O Partnership
Commercial
Purpose of Entity
Type of Entity Other (specty):
Oth er (specify):
te
Country of United States Virgin Island 8/18/2003
Dinacorpoofration /
incorporation/registration:
registration:
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter 93 St Thomas 00802 USVI U.S. 11N/EIN:
code):
Provide a description of the entity's organizational structure, its ovmership structure and its Top Management. For trusts/foundations, include nfonnabon about
revocatility,settlor and benehoiaries,etc.:
Jefhey Epstein is the sole shareholder of Japers Inc
Please Indicate how ownership d the legal entity is reflected:
• Special attention: Bearer Shares • Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persomf.
To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche r--,
Bank (e.g. external legal counsel, client referral source, supplier of goods or services)>: yes l_i No0
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Jeepers Inc is a private company that holds investments of es owner, Jeffrey Epstein.
Countries where business s transacted: USA, USVI
Number of employees: 3
3D. Wealth Profile (Only for parties requirng 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 assets/liabitRies):
/tenets Inc was started to hold the personal invesbnents of Jeffrey Epstein. The company began with 1,000 stares of common stock at no par value. Its
revenue comes 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 asset (S): $20 MM - 50 Mal
Potential Amount to be invested with PWM (5): 200,000.00
Other Known Financial Insbtubons:
Institution: JP Morgan Chase Country: USA Est. Assets Under Mgt: 28,000,000.00
Institution: Country: Est Assets Under Mgt
Institution: Country: Est. Assets Under Mgt
SDNY_GM_00039807
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002631
EFTA_00150416
EFTA01283905

KYC Print Page 10 of 14
SDNY_GM_00039808
littps://dbforcepb.my.salesforcCaNEIDsKidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002632
EFTA_00150417
EFTA01283906

KYC Print Page 11 of 14
DB PWM GLOBAL KYC/NCA: US/LatAm/InCI PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
❑O
Booking Center El NY O E Ceshore Mockrate ©High Ftsk Michael Wes
NY/ re sk
(Compliant Signature)
• DB Employee • ea Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided 0 Drivers Ucense O Passpat aNallettal/Stite ID O0ther
B Checklist of names (individuals and/or entitles) that were submitted for database searches Is Orin 0
attached No
C. Please indicate the results of the database searches performed
RDC searches complete I21yes I: No negative result kind Mt EINO
PCR checks complete 0 yes O No negative results found Ova 0 No
OFAC checks complete ®Yes CING negative results found ages NO
BIS searches complete (Les's/Nos, Factiva, Reuters, Dow )ones, MB) RI yes O No negative results found Ova ONG
Denial Orders checks complete Ere% El No negative results found Oro n NO
alanindale-Hutbell searched (Lawyers/Low Firms only) area Eno negative results found Ova 0 No
Please summarize any alive results from the database searches indicated above: HARRY BELLER:
KYC approved in case
)EANNE BRENNAN:
No Negative Media
No Court Cases
D.
JEFFREY EPSTEIN:
Jeffrey vas approved In KYC
His PCR/RCC alerts and elear:roce ii documentation is contained in the above mentioned KYC
JEEPERS, INC
No Negative Media
Al court cases are not our client. The court cases refer to a )eepers Inc in Arizona and one in North Carolina. Our dent is based in the US Virgin Islands
E. To the best of your knowledge, has the client ever been convicted of a ervninal offense> El 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 its subsidiaries or is the customer threatening litigation against
F. Deutsche Bank AG or any of it subsidiaries> (If Yes, prow* detads below and contact Quality Mgt O Yes FA No
gatArnantl) or the Regulatory Control Gnaw arc( nobly Comptiatxr immediately)
G. D co o u e n s t r t i h e e s c a l 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 s t s s o C c o ia n ti t o ro n l / ( in O t F e A ra C c )? ti ons within O Yes El No
H Does the client or related party have any financial or other association/ interactions within high risk oyes
countries? ONO
L Corporate DccurneMatkm Atbebed (Legal Entitles Only) 0 Yes O No O Not Applicable
3. Undisclosed Prlectpal Form Complete (Intermediaries Only) 0 Yes 0 No ®Not Applicable
K If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentations not ki English, please provide an English summary el the
nature/contents of the non-English Documentatkn:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries> ayes EZ No
SONY_GM_00039809
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002633
EF1'A_00150418
EFTA01283907

KYC Print Page 12 of 14
Is the account structure unusually complex? Oyes E No
Is there any indkabon the client set up a non cperabng company expressly
for the purpose d transferring shares to third parties' U Yes E No
Is there any indkation this could be a prohibited business relationship/ O yes E No
Are the bearer shares Identeled subject to acceptable controk, ❑Yes EZ No
SDNY_GM_00039810
https://dbforcepb.my.salesforeCCINEIDEgrNiliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002634
EFTA_001504I9
EFTA01283908

KYC Print Page 13 of 14
PI Can Comments
Created By Date Comments
amass Light** 10/29/1131:38 PM Ron b nn change In RN rek rØ for this update. Therein, a new SA Sohn:: not required.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 10/24,2013
Paul Morris
Office Director/Business Head: Brian St Biggar (Signature) 10/24/2013
Brian M. Biggar
Regional Office Director. (Signature)
Aril Business Risk
(Signature)
AML CcarMianie:
(Signature)
Jacqueline Ughtbocty Jacqueline Ughtbody 10/29/2013
Michael Via Michael Via 10/29/2013
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager (Signature)
Global Market Team Head (Signature)
(644T11)/Sub- Market Team Head
>MN:
MIL 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 ofi ts clients. To do so, Client Facing
Professionals)( 1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high
standards ofsuitabiliry, 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 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 PWMA mericas Procedures and the PWM Global KYC Policy
SONY_GM_00039811
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CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002635
EFTA_00150420
EFTA01283909

KYC Print Page 14 of 14
(I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers.
Client Managers, etc.
Deutsche honk Americas New York
SDNY_GM_00039812
https://dbforcepb.my.salesforCCINtErilDailIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002636
EF1'A_00150421
EFTA01283910