EFTA01283955.pdf

KYC Print Page I of 16
DB PWM GLOBAL KYC/NCA: PART A
KYC Case A : 01195134 Status : 6. Approved
One sheet must be established per relationship - list all accounts Included in the relationship
L. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York
Relationship Manager: Paul Monti
O New OWN Relationship 0 Existing PWM Relabonshp
Relatonship to PWM:
If existing, please indicate since when the relationship exists provide reason for new profile and attach old profile: Update c(
approved KYC 01121881. Update is ONLY to add Darren Indyke as an authorized signer. Dairen has teen approved In KYC
41133377 IR ICI I
O Client Referral RM Prospect Intermediaryg/M • Other Source (CI8, 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, cent. etc.): Jeffrey Epstein is
RN personally known the a current client 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 mutual (rend/colleague who introduced them while Paul was at
10Morgan. Over the course d 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 Ms I O No
retrocession or similar
compensation to a third party
for the introduction of this af Yes, rksoitei.
relationship'
Ust all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (Intended/actual)
Accounts)
1 e
lepers Inc 9/18/2013
e
2 Deeper Inc 9/18/2013
Who Is the plenary contact
person for the RM? (Note:
Preferred method of contact
This person needs to have Jeffrey Epstein
(indicate phone no., fax no.,
signatory rights arid*
e-mail address, etc.):
Sonnabon right for the
accounts.):
SONY_GM_00039868
https://dbforcepb.my.salesforCCINBIDEgriNiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002692
EFTA_00150477
EFTA01283955

KYC Print Page 2 of 16
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Items Inc Acct. Number (if sradobley.
Account Manager. Paul Monis
What is the purpose d the account (e.g. portfolio management advisory account custody services, iong-term investment, payment/expense
account)' Checking account for leepers Inc daily Is:lucky 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 detais):
El Other Indflution (Indkate name & location): WMorgan Chase. New York, NY
O Physkal Deposks (specify cash, securties, cheques....):
V/hat Is the expected size and frequency of regular Inflows and outflows for the account (Indicate estimated number and volume per month)'. Roughly 5-10
Wirers and outflows Ns month ranging from $1,000 to $10,000
I Currency I USE)
What is the expected volume of assets and currency for the account approx. 90 days after opening' I
'Currency I uSD
What Is the expected volume d assets and currency for the account approx. one year after opening' I 51).°°°
Dites/VAII the client have Assets Under Management (AuM) within 013 under Eur. 314' U Yes E No
Please Ike aN parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationshi of the party to this account (> I can be selected).
• If none of the check taxes apply, describe the party relation to the account in the "Other column.
• Always descnbe the relabornhp between he parties n the last column.
• Please dril down to the ultimate/underlying Beneficial Owner(s .
_egal5escriptkn AccountPlC beta:if of Jitirnate Signatoryntedielnarxtal Significant _egal Srantor/Setdor Founding0ther
Entityof Source Holder Crinerfrust / Seneficiaax Full ?OA Intermediary Shareholderkepresentabve Donor (please
/ Wealth %under of >emu POA (FIN) (>=25%) describe
required Foundation Ncn-PIC other rotes
entity and/Or
Parties (Skate ndicate
related ownership elationship
to this lb) between
account mites)
1 E1 E1 In k c e n's' El • O O O O O O • •
2 0 e Jeffrey n 0 0 I El 0 0 I 0 I
Epsrzin "
3 • O BelHlear" O • O • ® O O 0 0 O
Jeanne
4 O O Brennan n" q ill • • gl O O O O •
Darren El O O O O •
S O O Indyke O O O O
SONY_GM_000391369
ps://dbforcepb.my.salesforCaNtEllOalniliAL000000D9Di&e... 7/30/2019
ht t
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002693
EF1'A_00150478
EFTA01283956

KYC Print Page 3 of 16
2. Account Ownership Summary
Account Name: letters Inc Acct. Number (1.w.v.COW.
Account Manager: Paul Morris
What Is the purpose of the account (e.g. portfolio management advisory account, custody services, longterm investment, payment/expense account)' Money
Market account to hold keepers Ines cash.
Indkate from where the asses are expected to arrive'
O DB Group: Same Booking Center (Indicate account number):
O 06 Group: Other Booking Center (indkate DB location and account debts):
2 Other Institution (Indicate name & location): 3PMorgan Chase. New York, NY
O Physical Deposes (specify cash, securties, cheques, ...):
What Is the expected size and frequency of regular Inflows and oulfbws fee the account (.nthcate estimated number and volume per month)': Roughly 1-2
Slows and outflows per month ranging from 91,000.910,000
I Currency 1 USD
What is the expected volume ct assets and currency for the account approx. 90 days after opening' I
1150,000 I Currency I USD
What Is the expected volume ce assets and currency for the account approx. one year after opening? ID
Doeshel the client have Assets Under Management (AuM) within Cl3 under Eur. 3M? Yes N No
Please list 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 or the party to this account (> I can be selected).
• !nen of the check boxes apply, describe the party relation to the account in the "Other column.
• Always describe the relationship between he parties 'n the last column.
• Please dril down to the ultimate/uncknying BenefKia Owner(s).
_egal5escnptkn AccountPIC Settior of ilbmate Sagnatory_ennecIFinancal Significant -eget :irantor/Settkefounding Odle.
.Entity of Source -Iolder ,wnergrust / Beneficialor Full ?OA ntemiediary Shareholdereepresentathee Donor (please
of Wealth Founder of ›aner POA FIM) (> =25%) describe
equfred Foundation Non-PIC other roles
entity and/or
Parties (ndicate ndkate
related ownership clatter's/lip
to this %) between
account nines)
a O O
e Inc Mrs, O O O O • • •
2 O 2 E J p e s ff t r ee iny i"n m ■ O O e OO O O •
Hany O • O
3 O O Boer • 2 D 0 CI O •
4 O O B le ro a s r i n n a e n , n - , O O O EA 0 0 O D O
5 O O IDncahr"ken O Oq D O 2 O O O O •
SDNY_GM_00039870
t ps://dbforcepb.my.salesforCCINEJIDLNIdiAlL000000D9DiSice... 7/30/2019
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002694
EF1'A_00150479
EFTA01283957

KYC Print Page 4 of 16
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indhnduars !tame: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953
county of Residence: USVI Country of Ctoenship: USA
Has dent resoled oulskk of
tete Saint James Saint Thomas 00802 US Virgin Islands his/her country of nationality Dyes ®No
Address of primary residence:
for 5 years or more'
PicifessioniOccupation: Self EmpoNed Tax ID / 55N: 090-44-3348
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer:
Does the person work as senior executive of a DB-recognized regulated entity in the financial ri __ cc
ndustre or an entry listed on a CEI-recognised exchange' plot appkabk for operating entitles t--i ICS l'7-1 No
Is the individual a Politically Exposed Person (PEP)'(if Yes, describe) El Yes a No
To the best of your knowledge, is the individual related to an employee of the DB group'(if 0Family 0Friendship 5 None
FJITI4' or Fnendshp, desothe)
D To e u th ts e c h b e e s B t a o n f k y ( o e u .g r . k , n e o x w te le rn d a g l e l , e i g s a t l h c e o i u n n d s i e vi l d , c u l a ie l n p t a r r e ty fe t r o ra a l s n o c u o r • c b e a , n s k u in p g p r le e r la o ti f o g n o s o h d ip s w or it h O Yes J No
servkes)'Pf YeArfescribe)
If applicable, indicate which bank officeis have met the Indicate where and when the dent rneebng(s) took place:
',non:
Ghent Private Client Plate of
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris E) • a 8/7/2013
ri O
:.....: O
D III 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 parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private Inv ts
Primary Country of source of wealth/souice of Funds'
Primary industry of source of Wealth/Source of Funds'
r._.,
Summartze Source of Weakly Ki Business Owner 0 Salary/Earnings Rilmestment 0 Inherftance/Gfts 00ther.
Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate weami' For inheritance,
how did family 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.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n
1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managng the assets of 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 t on the bland of St. Thomas in trie US Virgin Islands. All of his clients
were anonymous except for the very wealthy businessman Leslie Wanes. Ms 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 asseb(S): $50 MN • 100 MM
Estimated Net Wortli(S): $100 MM - 500 MM Amount of assets planned to Invest with PWM(S):
Other Known Financial Instkvitions:
Institution: WMorgan Chase Country: USA Est Assets Under Mgt: 20,000,000.00
SDNY_GM_00039871
https://dbforcepb.my.salesforeCCINErilCaltiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002695
EFTA_00150480
EFTA01283958

KYC Print Page 5 of 16
Institution' Counby. Est Assets Under Mgt:
Country Est Assets Under Mgt.
Please mclicate the family situabon of the indivKlual (marital status. oth r (amity members, etc.): Single
SONY_GM_00039872
Imps://dbforcepb.my.salesforeCCINEJIDEschiltiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002696
EFTA_00150481
EFTA01283959

KYC Print Page 6 of 16
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indivkluars Name: Harry Beier - 00000487202 Date of Bath: 5/9/1956
County of Residence: USA Country of Clatenshlp: USA
Has dent resided outside of
12 Golar Drive Homey NY 10952 USA his/her country of nationality Dyes g No
Address el primary residence:
for 5 years or more>
Profession/Occupation: Accountant Tax ID / SSN: 081-52-0727
Current Employer: HBRK Associates, Inc PodtladTPM/Rank:
Address d empbwr.
Does the person work as senior executive of a DO-recognized regulated entity In the financial ri
ndustry' or an entity kind on De-recognised exchange? (Not applicable for operating entitle; "YeS ONO
Owls SA
Is the individual a Poetically Exposed Person (PEP)'(if Yes, describe) No
To the best of your knowledge, is the individual related to an employee d the DB grouP7(1 DFamlly O Friendship R None
renufr or Friendship, descnbe)
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 ila No
servIces)?(0 Yesxtescnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meetirxXs) took place:
person:
Cent Private Client Placed
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domidk: Business:
Paul Mous 7.1 • O 10/21/2013
O
O O
El O O
O Weakh Details for this individual are not filled in, because they are the same as for the fonowing person:
38. Wealth Details (Only for parties requiring source of vrealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Sauce of Funds'
Surnmartte Source of Weakly O Business Owner O Salary/Earnings I:Investment O btheritance/Gifts 00ther:
Further Describe Source of Wealth /Detail the Way of wealth or each of the sources: (e.g. For trusts, how did seitor accumulate wealth' For inheritance,
how did ferrety accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries
of major adrift's, important business partners.)
Estimated Annual Income(5): Estimated amount d investable assets(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(e):
Other Knoun Financial Institutions:
Insttobon: Country: Est. Asset. Under Mgt:
Institution: County: Est Assets Under Mgt
Institution: County. Est Assets Under Mgt.
SDNY_GM_00039873
Imps://dbforcepb.my.salesforcCuNtaCtEgilTdiA19000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002697
EFTA 00150482
EFTA01283960

KYC Print Page 7 of 16
Please indicate the family setuabon of the individual (marital status, other family members, etc.):
SDNY_GM_00039874
ps://dbforcepb.my.salesforcCaNtaDEsailiAL000000D9Dieice... 7/30/2019
t
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002698
EF1'A_00150483
EFTA01283961

KYC Print Page 8 of 16
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 - 00000487647 Date of Birth- 9/2/1960
Country of Residence: USvl Country of Crtaenship USVI
Has dent resided outside of
*6-L10 Est. Nazareth St. Thomas 00032 Virgin Islands, US his/her country of nationality O yes WI No
Address el primary residence:
for 5 years or more'
Profession/Occupation: Finance Tax ID / 55N: 150-46-4746
Current Employer: Southern Financial, LLC Position/Tide/Rank
Address of enelortf:
Does the person monk as senior executive of a DO-recognized regulated entity In the financial n
ndustry' or an entty listed on a 043-recognised exchange' (Not applicable fee operating entitles Yes 2 NO
Is the individual a Politically Exposed Person (PEP)'(f Yes, describe) ElYes Ea No
To the best of your knowledge, is the individual related to an employee of the DB group'0/ DFamlly O Friendship rd None
Part or friendship,
To the best of your knowledge, is the individual party to a nal-banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes ZI No
servIces)761 Yes,descnbe I
If applicable, indicate which bank officers have met the Indicate %Mere and when the c rent rreebng(s) took place:
person:
Client Private Client Place of
Bank Officer Name(s) Bank Offke: Other Location (speedy). Date:
Domicile: puniness:
• • O
O O O
El O D
O Wealth Detail 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:
Primary Country of source of wealth/source of Funds'
Primary indusby of source of Wealth/Source of Funds'
Summarize Source of Wealth: O Business Owner O Salary/Eamings O Investment OInheritance/Gifts 00thier:
Further Describe Source of Wealth /Detail the bitty of wealth or each of the scums: (e.g. For trusts, how did setdor accumulate wealth" For inheritance,
how did farmer accumulate wealth?For business owners, how long in baseless, how many employees, level of profitability? Indicate type of business, countries
of major activities, important busness partners.)
Estimated Annual Income(S): Estimated amount of Investable assets(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
Institution: County: Est. Assets Under Mgt:
Institution: County: Est. Assets Under Mgt:
Institution: Country. Est Assets Under Mgt:
SDNY_GM_00039875
littps://dbforcepb.my.salesforcCaNtalDailniliAL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002699
EFTA_00150484
EFTA01283962

KYC Print Page 9 of 16
Please indicate the family setuabon of the individual (marital status, other family members, etc.):
SONY_GM_00039876
Imps://dbforcepb.my.salesforcaINEJIDEphilidiA1000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002700
EF1'A_00150485
EFTA01283963

KYC Print Page 10 of 16
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indlviduars Name: Darren Indyke - 00000486405 Date of Birth: 2/19/196.5
Country of Residence. USA Country of Citizenship: USA
Has dent resided oulskk of
RI
2 Kean Court Ltringston NJ 07039 USA his/her country of nationality II yes No
Address et primary residence:
for 5 years or more
Profession/Occupation: Lawyer Tax ID / SSN: 098.548596
Current Employer: Southern Financial LLC POSItIonflide/Rank
Address of emPloYer: 575 Lexington Ave, 4th Fl New York NY USA 10022
Does the person work as senior executive d a DB-recognized regulated entity in the financial n
q
ndustre or an enbty listed on De-recognised exchange' plot applicable for operating entbes "Ye 0 l"
Is the individual a Poetically Exposed Person (PEP)'(if Fes, describe) ElYeS Ea No
To the best of your knovAedge, is the individual related to an employee of the DB group(a DFamily 0 Friendship re None
Family or Friedel* dna:be)
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, supplier of goods or O Yes RI No
serYkes)' i res,descree)
If applicable, indicate which bank officers have met the Indicate Mere and %Men the c ant rreetmg(s) took place:
person:
Citnt Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (speedy): Date:
panto*: Business:
Ei O n
O O
IT. 0 0
0 Wealth Details for this individual are not filled in, because they are the same as for the foliowing person'
38. Wealth Details (Only for parties requiring source of weath description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds'
Primary industry of source of WealtIVSource of Funds'
Summarize Source of Wealth: 0Business Owner 0 Salary/Eamings I:Investment 0Inheritance/Gits 00ther:
Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance,
how did fan* accumulate wealth?For business owners, how long in baseless, how many employees, level of profltatdity? Indicate type of business, countries
of mayor activities, important business partners.)
Estimated Annual Income(S): Estimated amount d investable assels(S):
Estimated Net Worth($): Amount d assets planned to rwest with PWM(S):
Other Known Financial Institutions:
Institution: Counby: Est. Assets Under Mgt:
Institution: Counby: Est Assets Under Mgt:
Institution: Counby: Est Assets Under Mgt
SONY_GM_00039877
https://dbforcepb.my.salesforCCaNEJIDEschilidiA14000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002701
EF1'A_00150486
EFTA01283964

KYC Print Page 11 of 16
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 Summa
3C. Legal Entity Details (For al Legal Etrobes)
Legal Entry Name: Items, Inc - 00000486423
Li
El Private Investment
OFoundation/Association O Trust Company O Estate
Type of Entry: Purpose of Enbty: El
O Philanthropic/Charitable
PartnenhO
Commercial
Purpose of Enbty
Type d Entity Other (spec fy):
Other (specify)',
Date of
Country of United States Virgin Island 8/18/2003
Incorporation j
incorporabon/registration: registration:
Volcker Status: Volcker Rag:
Address (city, street, post 6100 Red Hook Quarter 93 St, Thomas 00802 USVI US. TIN/EIN: 66-0629193
code):
Provide a description of the entity's organizational structure, Its ownership structure and Its Top Management. For trusts/foundations, include informatko about
revocability,settior and beneficiaries,etc.:
Jeffrey Epstein is the sole shareholder of levers Inc
Mast indicate how ownership d the legal entity is reflected:
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 (if not the same persons)
To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche
Bank (e.g. external legal counsel, clknt referral source, supplier of goods or services)>: Yes O No Ei.)
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: learn Inc is a private company that holds investments of is owner, .1effiey Epstein.
Countries where business is transacted: USA, USVI
Number of employees: 3
3D. Wealth Profile (Only for parties reguirng 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 d Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsftiabadies):
Japers Inc was started to hold the personal Investments d Jeffrey Epsteh. The company began with 1,000 shares d common stock at no par value. Its
evenue comes from the gains d the Investments it holds.
Estimated gross receipts p.a.(S): 400,000.00
Estimated net profit p.a. (5): 200,000.00
Estimated Investable assets ($): 120 MM • 50 MM
Potential Amount to be Invested web PWM (S): 200,000.00
Other Known Financial Institutions:
Institution: JP Morgan Chase Country USA Est Assets Under r'lgt 28,000,000.00
Institution: County: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
SONY_GM_00039878
Imps://dbforcepb.my.salesforcCaNtallacALTIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002702
EFTA_00150487
EFTA01283965

KYC Print Page 12 of 16
SDNY_GM_00039879
littps://dbforcepb.my.salesforcCLINEJIDErbildiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002703
EFTA_00150488
EFTA01283966

KYC Print Page 13 of 16
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B rA
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booldng Center El NY E Offshore R°isMk °6" ate ©High Risk]Gwen Hill
NY/Offshore
(Compliance Signature)
• DB Employee O DB Managed PIC O 08 Is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided Defiers License O Passport ONational/State ID O0ther
B. C at h ta e c c h k e lis d t of names (individuals and/or entitles) that were submitted for database searches is rl Yes O No
C. Please Indicate the results of the database searches performed
RDC searches complete Eves I: No negative results counts Dyes El No
PCR checks complete 2 yes C No negative results found ates No
OFAC checks complete 5 Yes C No negative results found Oyes @No
BIS searches complete (Leds/Nerls, FaCtca, Reuters, Dow Jones, DAB) g Yes O No negative results found Oyes @No
Denial Orders checks complete E Yes C No negative results found Oyes @No
Martindale-Hubbell searched (Lawyers/Lew Brim only) Oro Eno negative results found Oyes • No
Please surnmartre any negative results from the database searches indicated above: DARREN INDYKE:
KYC approved in case #1133377
HARRY BELLER:
MK approved in case #01133624
JEANNE BRENNAN:
No Negative Media
D. No Court Cases
JEFFREY EPSTEIN:
Jeffrey was approved In KYC 101062293
His PCR/ROC alerts and clearances and al 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 Jeepers 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 criminal offense' Oyes El No
To the best of your knowledge, has the customer ever been involved in any past Itigabon against
Deutsche Bank AG or any of Ps subsidiaries a is the customer threatening Ideation against
F. Deutsche Bank AG or any of its subsidiaries, (II Yes, pernvile details baby and contact Quakty Mgt. O Yes Fr No
(LatAntfintl)or the Regulatory Control Group and nobly Compliance imtnedoately)
G. D co o u e n s t 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 tt e y d h b a y v e th a e n O y f f f i i n c a e n o c f ia F l o o r r e o ig t n h e A r s a se ss ts o C ci o at n io tr n o l / ( I O nt F e A ra C c ) t ' i ons within Eq l ves 5 No
Does the client or related party have any financial or other association/ Interactions within high risk D yes 2 No
H.
countries*
I. Corporate Documentation attached (Legal Entitles Only) 2 Yes O No ONot Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No Stick Applicable
K If Lodz/Nods Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the
nature/contents of the non-English Documented:a:
L Special Risk Factors
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R. CRIM. P. 6(e)
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Ooes the account have NW'S to Special Risk Countries/ Oyes EL No
Is the account structure unusually complex? NI Yes EL No
Is there any Indication the client set up a non operating company expressly r-i
for the purpose d transferring shares to third parties' LI Yes g No
Is there any Indication this could be a prohibited business relationship' OYU E No
Are the bearer shares identfied subject to acceptable controls' Elves 2 No
SDNY_GM_00039881
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M. Case Comments
Created By Date Comments
Ns Update KYC did not have an effect on clients risk rating therefore no new risk calculator was prepared.
Janice Franklin 3/26/114 2:25 PH
clxurnent repository for previously prepared tisk calculator under client's gas=.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2/24/2014
?au! Mixrrs
Office Director/Business Head: Brian NE Biggar \Signature) 2/24/2014
Brian NI Biggar
Regional Office Director. (Signature)
MIL Business Risk:
(Signature)
MIL Compliance:
(Signature)
Janice Franklin Janice Franklin 3;26/2014
Gwen Hill Gwen RI 3/26/2014
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager (Signature)
Global Market Team Head (Signature)
(GNITH)(Sub-Market Team Head
.(S14714):
NIL Business Risk:
(Signature)
MIL Compliance:
(Signature)
PRIVATE WEALTHM ANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management
(PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing
Professionals)( 1) (CFP's) should establish and maintain business relationships only with persons who swish, our high
standards ofsuitabilior, background and character. Due diligence obtained on the client must be appropriately
documentedb y the CFA 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
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(I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers.
Client Managers, etc.
Dathho Book MIS= New Yoh
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