EFTA01283923.pdf

KYC Print Page I of 12
DB PWM GLOBAL KYC/NCA: PART A
KYC Case Status : 6. Approved
One sheet must be established per relationshi • list all accounts included in the relationshi
1. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP.00000483290 Booking Center: New York
Relationship Manager: Paul Morris
• New PINSI Relationship O Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relaborsh p exists, provide reason for new profile and attach old profile:
(CIB.
• Client Referral 0 RM Prospect O Mtermecary/FIM • Other Source etc.)
How Was the Client(s)
Introduced' How long has the please provide detals (e.g. name of referral source, how many years RN personally as known client, etc.): Jeffrey Epstein
RM Personally known the is a current dent of 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 a mutual friend/colleague who Introduced then while Paul was at
JPPlorgan. 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 I g No
retrocession or similar
compensation to a third party
for the introduction of this (If Yes, desenbey.
relationship'
List al existing and new accounts Involved In this relationship
Legal Entity Account Name / Number Opening Date (mended/actual)
Account(s)
2
1 Mort, Inc 11/12/2013
2 FA Mort, Inc -- Maley Market 11/12/2013
Who Is the primary contact
person for the RM' (Note:
Preferred method of contact
This person needs to have Harry BBaler
(nclicate phone no., fax no.,
signatory rIghls and/or
e-mail address, etc.):
information right for the
accounts.):
SDNY_GM_00039825
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002649
EF1'A_00150434
EFTA01283923

KYC Print Page 2 of 12
One sheet mud be established for each account to be opened
2. Account Ownersh p Summary
Account Name: Mort Inc Acct. Number (item/ ale/
Account Manager: Paul Morris
What S the Purpose of the account (e.g. portfolio management, advisory account custody services, long-term investment, PaYment/exPense
account)' Oinking account to hold assets for the company.
Indicate from where the assets are expected to ante'
O 08 Group: Same Crooking Center (Indicate account number):
0 08 Group: Other Booking Center (indicate 08 location and account details):
21 Other Institution (Indicate name & location): JPflagan. New York
• Physical Deposits (specify cash, secunbes, 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 $1,000 to $10,000
150000 'Currency I USD
What IS the expected volume of assets and currency for the account appox. 90 days after opening'
150000 'Currency I USO
What s the expected volume of assets and currency for the account approx. one year after opening'
Does/ivil the client have Assets Under Management (Aunt) within D8 under Eur. 3M' Dyes RI No
Please Nat all parties related to the account
For each party:
• Check if a source of wealth descnpion is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1c an be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other column.
• Always describe the relationship between the partie in the last column.
• Please arm down to the ultimate/undertying Beneficial Owner( ).
_Nal .3escriptim AccounbalC Settor of itimate 75ignatcry imiteciFnancial Significant -egal 3tantOr/SettorfoundhisiOther
Enter/ Source Wader CnmerTrust / 3eneficlabor Full PO* IntennedlaryShareholder Representative Donor (please
of Weath founder of Tvner 'OA (FIN) (>=25%) describe
required Foundation Nca-PIC other roles
entity and/or
Parties (Indicate ndicate
related ovmership relationship
to this %) etween
account padies)
1 O O BRe3trkIVr • O • • Lrf III X • • •
ort,
2 2 2 Inc El O O O O O O O O O
Jeffrey
3 O !I EpsteM • CI O 21 21 O • • • •
SDNY_GM_00039826
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002650
EFTA_00I 50435
EFTA01283924

KYC Print Page 3 of 12
2. Account Ownership Summary
Account Name: Mort, Inc — Money Market Acct. Number (davallaArel.
Account Manager: Paul Monis
What is the purpose of the account (e.g. porffollo management, advisory account, custody services, long-term investment, payment/expense
account), Money Market account to hold assets for the company and to earn interest
Indicate from where the anets are expected to arrive
O 06 Group: Same Booking Center (indicate account number):
. DB Corp: Other Booldng Center (Indicate 06 location and account details):
74
Other Instils:Von (Indicate name & location): 3PMagan, New York
O Physical Deposits (specify cash, securities, cheques, ...):
What s the expected sae 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 $10,000
150000 ICurrency I USD
What is the expected volume of assets and currency for the account approx. 90 days after openng7
150000 (Currency I USD
What is the expected volume of assets and currency for the accountapprox. one year after opening'
Does/will the client have Assets Under Management (AuM) %Whin DB under Eur. 3M' Dyes O No
Please Nst 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 relationship of the party to this account (> 1c an be selected).
• f none of the check boxe apply, describe the party's relation to the account In the *Other column.
• Alvays describe the relationship between the parbe in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner( ).
,egal 'Description AccounWIC Seal« of JIUmate rignatory Jmiteillnancial Significant egal SaMor/Setliciefoundi • • . ..
inttyof Source Holder Onseatust / Bendiclabr Ful 70A InterrnediaryShareholderteprinentative Donor please
of Weath Founder of Owner POA (FIM) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (indicate ndicate
-elated ownership -elabonship
to this %) between
account lanes)
ts'
. Do
I O 0 minco Ei • O O O O • O
200 s"eller O OO • El O O O to O
Jeffrey r O O
3 O O Epstein " O O O O O O O
SDNY_GM_00039827
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002651
EFTA_00I 50436
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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: Jeffrey Epstein - 0000f Date of Biro 1/20/1953
Country of Residence: USVI Country of Citizenship: USA
Has client resided outside of
Address of primary residence. Line Saint James Saint Thomas 00802 US Virgri Islands Ms/her country of nabonallty O Vs ®No
fee S years a more?
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial LLC PositionMtle/Rank: President
Address of employer 6100 Red Hook Quarter B3 St Thomas USVI 00802
Does the person work as sea* execubVe of a DB-recognised regulated entity in the financial
ndustry7 or an entity listed on a DB-recognised exchange? (Not applicable for operating Oyes ®No
entities
OWS No
Is the endrviclual a Politically Exposed Person (PEP)'(# Yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB grouprytt O EBBW ElFriendslap r4 None
Panily of Fneods/vp, describe
To the best of your knowledge, is the indrodual party to a non-banking retabonship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or ElYes No
services)'( a` Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and Wien the client meeting(s took place:
person:
Cknt Prwate Client Place of
Bank Officer ?la me(s) Bank Office: Degniae. Business: Other Location (specify): Date:
Paul Morris • O g 10/22/2013
El El [I
r :._ i _ ; El O
El wealth Details for this individual are not filled In, because they are the same as fa the following person:
3B. Wealth Details (Only for parties requinng source of wealth description as racketed in Section 2)
Nature of the Individuals Business: Pnvate Investments
Pnmary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: Z Business Owner OSalary/Earnings Iii Investment O Inheritance/Gifts 00ther:
Further Describe Source of Wealth /Detect the history of wealth for each of the sources: (e.g. For busts, how did settler accumulate wealth? For inheritance,
how did family accumulate wealth'For business owners, how long in business, how many ernpioyees, level of profitability' Indicate type d business,
countries of major activibes, important business partners.) Epstein began his Mandel 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., managing the assets of clients wail more than a billion in net
worth. In 1996, 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. MI
of Ms cknts were anonymous except for the very wealthy businessman Leslie Wexner. Hs wreath has come from hs days at Bear Stearns and hid financial
management firms
rr
Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): I $50 MM - 100 PIM
Estimated Net Worth($): $100 MN - SOO MM Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
SDNY_GM_00039828
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CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002652
EFTA_00150437
EFTA01283926

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J
InstItutice: Country: Est Assets Under Mgt:
institution: Country: Est Assets Under Mgt:
Country: Est Assets Under Mgt:
1
Please Indicate the family stualion et the Individual (marital status, ether Carney mentors, etc.):
SONY_GM_00039829
https://dbforcepb.my.salesforCCINErillacchtirdiA10000000D9Ditite... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002653
EFTA_00150438
EFTA01283927

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3k Individual Details (for all parties)
Individual's Name: Marry Beller Date of Bit.:
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
Address of primary residence: 12 GNar Drive lionsey NY 10952 USA hisMer country of nabonallty O Yis ®No
fa S years or more?
Professka/OcCuPatkOw Accountant Tax ID / 55N:
Current Employer: KIRK Associates, Inc PositonMtle/Ranic
Address of employer: AS Lexington Avenue, 4th Floor Homey NY USA 10022
Does the person work as sea* exeame at a DEr-recogritred regulated entity M the financial
ndusor or an entity listed on a DB-recognised exchange? (riot applicable for operating Oyes No
entities
OM* Eno
Is the individual a Politically Exposed Person (PEP)7(` Yet, *sate)
To the best of your knowledge, Is the MdivIdual related to an employee of the DB group, (a' ill Farley OFrtendshlp M None
Fan* of Friendship, descatte)
To the best of your knowledge, is the Intlnidual party to a non-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or Ores FA No
services),(6 Yes,clescabe)
If applcable, indicate vihich bank officers have met the Indicate where and Wien the client meeting(s took place:
person:
Client Prnate Client Place of
Bank Officer flames() Bank Office: Other Location (specify): Date:
Domicile: /Business:
Paul Morris • D 74 11/4/2013
n • O
r-1 n
O
El Wealth Details for this Individual are not filled in, because they are the same as for the foil:Wing person:
35. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2)
Nature of the Individuals Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds>
Summarize Source of Wealth: • Business diner O Salary/Eamings O Investment OInheritance/Grits ['Other:
Further Describe Source of Weal, /Detail the history of wealth for each of the sources: (e.g. For trusts, how did sewer accumulate wealth? For inhertance,
law did family accumulate we Ith?Foc business owners, how long in business, how many employees, level of profitaNlite Indicate type of business,
countries of major actMeles, important business partners.)
Estimated Annual 1ncome($): Estimated amount of Investable assel3(s):
Estimated Net Worth($): Amount of assets planned to Invest with FWM($):
Cther Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
SINY_GM_000398.30
https://dbforcepb.my.salesforCQUE110airdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002654
EFTA_00150439
EFTA01283928

KYC Print Page 7 of 12
Institution: Country Est. Asset Under Mgt:
Please indcat the family situation of the indrodual (mortal status, other family members, etc.):
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entitles)
Legal Entry Name Mort Inc • 0000'
RI it4 P rivate Investment 0
0 Foundabon/Associabon 0 Trust Company L. Estate
'Pipe of Entity: Purpose of Entity:
Philanthropic/Charitable 0
El Partnership
Commercial
Type of Entity Other Pulp*Se of Entity
(specify): Other (specify):
Date of
Country d U.SVI 4/12/2011
incorporation f
incorporabon/registraban:
registration:
Vokker Status: Volcker Rag:
Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI US. TIN/EIN:
code):
Provide a descr$tion d the entity's organizational structure, its ownership structure and its Top Management. For tnats/foundatOns. include information
about revtcablittsetbor and beneficuries,etc :
Corporation with 1000 issued All issued shares are aimed by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner.
Please indicate how ownership of the legal entity is reflected: Corporation with 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is
the President and sole shareholder and 01\110.
0 Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct Amer of the entity to the ultimate beneficial owner (ifn ot the same persons) Corporation with 1000 issued. MI issued
shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner.
To the best d 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 Yes IIII No
services)'+:
Describe Nature of Entity's Primary Business and Investment Activities
Investment holding company. A prtvate company that is used to hold investements that the
Nature 4 the business:
dole owner, Jeffrey, would like to keep separate from other investments
Counties where busness * transacted: USVI
Number of employees. 2
3D. Wealth Profile (Orly for parties requiring source of wealth description as indicated in Secbon 2)
Primary Country of source of wealth/source of Funds?
Primary Industry of source d Wealth/Source of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Capbl contrtubon of 51000 from Jeffrey Epstein
Estimated gross receipts p.a.(1.):
Estimated net profit pa. (5):
Estimated investable assets (5): <$1 MM
Potential Amount to be invested with PWM (5): 100.000.00
Other Know Financial Institutions:
Institutko: Morgan Country: USA Est. Assets Under Mgt: 100,000.00
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00039831
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EFTA_00150440
EFTA01283929

KYC Print Page 8 of 12
InslAuttat: Country: at. Assets Under Mgt:
I
SONY_GM_00039832
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002656
EFTA_0015044 I
EFTA01283930

KYC Print Page 9 of 12
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUT1ERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking Center 2 HY E Offshore ROisk M oderate El High Risk jGwen HI
NOY/Offshore
(Compliance Signature)
O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided 10 Drivers License RI Passport O National/State ID O Other
Checklist of names tinclivkluals and/or entities) that were submitted for database searches is
B. attached R) Yes • No
C. Please Indicate the results of the database searches per/owned
RDC searches complete 2 Yes O No negative results found 2 Yes • No
PCR checks complete 2 Yes O No negative results found 2 Yes • No
OFAC checks complete 2 Yes O No negative results found O yes 0 No
I21
BIS searches complete (Lexis/Nexis, Facttva, Reuters, Dow Jones, DU) Yes • No negative results found • Yes No
Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 0 No
Martindale-Hubbell searched (tinwersAaw Firms onty) 0 Yes El No negative results found Oyes • No
Please summarize any negative results from the database searches indkated above: JEFFREY EPSTEIN:
KYC Approved and aN pertaining documents si case
HARRY BELLER:
D. KIT approved in case a:
MORT INC:
AN negative media does not pertain to our client.
Al court cases do not pertain to our client
E. To the best of your knowledge, has the client ever been convicted of a criminal offense 74- yes 0 No
To the best of your knowledge, has the customer ever been :waked in any past legation 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 o f f i i t t s s s s u u b b s s i i d d i i a a r r i i e e s s o ' 9 r e f s Y th e e s, c p u r s o to w m l* e d r e th ta re ils a t b e a ni b ng y l a it n ig d a c ti o o n t a ag d a Q in u s a t ky O Yes 2 No
Mr. (Latilmant7) or the Regulatory Control Group and nobly Conlobance innroYately)
Does the client or related party have any financial or other association / interactions within
G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC), O Yes FA No
H. D ris o k e s c o th u e nt c ri l e ie s n ? t or related party have any Marxist or other association/ interactions within high O Yes 2 No
I. Corporate Documentation Attached (Legal Entities Orgy) 2 Yes • No ONot Applicable
1 Undisclosed Pdncipal Form Complete (Intermediaries Only) O Yes ONG 10 Not Applicable
K. If LedsMexis Search Resuks, Corporate Cocuments or Other Supporting Documentation B not in English, please provide an English summary of the
nature/contents of the non-Engitsh Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries' 0 Yes 2 No
Is the account structure unusually complex, 0 Yes 2 No
2
0 Yes No
SDNY_GM_00039833
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EFTA (()150442
EFTA01283931

KYC Print Page 10 of 12
Is there any indicabon the client set up a non operabng company
expressly to the purpose of transfernng shares to third parties'
Is there any indication this could be a prohibited business relationship' ❑Yes WINO
Are the bearer shares identified subject to acceptable cembeils' Dyes El N O
SDNY_GM_00039834
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EFTA01283932

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M. Gass Connate
No records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris Signature) 11/5/2013
Paul Moms
Office Drector/Busmess Head. Bnan M. Biggar :Signature) 11/5/2013
3rian M. Biggar
Regional Mice Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance
(Signature)
Janke Franklin Janice Franklin 11/12/2013
Gwen NI Green Hill 11/12/2013
LATAM/INTERNATIONAL APPROVALS
Client Paean Professional (CFP) lsgn e)
Account Manager: (Signer ,e)
Global Market Team Head (Seinkiisie)
(GHTM)/Sub.elarket Team Head
KSMTH):
AML Business Risk-
(Signoturr;
MIL Compliance-
(Signature)
PRIVATE WEALTHM ANAGEMENTP OLICY STATEMENn Deutsche Bank Private Wealth Management
(PW1i0 worldwide is committed to professionally serve the interests ofi ts clients. To do so, Client Facing
Ptafessionals1(1) (CFP's)should establish and maintain business relationships only with persons who satisfy our
high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately
documentedb y the CFP. It is the responsibility ofC FP's to demonstrate that they know their client both at the
inception ofa relationship and on an ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belieft he above
information is correct and up to date. !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 followeda ll the procedures relating to account opening
as described in the P WMA mericas Procedures and the PP7MG lobal KYC Policy
(i) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth AaWsors, Product Officers,
Brokers. Client Managers. etc.
SDNY_GM_00039835
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EFTA01283933

KYC Print Page 12 of 12
n
Doutsche Bank ArnerIcas New York
SONY_GM_00039836
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002660
EFTA_00150445
EFTA01283934