EFTA01283985.pdf

KYC Print Page I of 13
DB PWM GLOBAL KYC/NCA: PART A
KYC Case : 01195153 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relatioreship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York
Relationship Manager: Paul Morris
q New OWN Relationship Existing PWM Relabonslup
Relabonship to PWM:
If existing, please indicate since when the relationship exists provide reason for new profile and attach old profile: Update of
approved KYC 01135524 to add Darien Indyke as an authorized signer. Darien has been approved in KYC $1133377
■ Client Referral 121 RN Prospect q IMennediary/FIM q Other Source (Cm, etc.)
How Was the Client(s)
Introduced? Now 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 personally known the a current dent or the Bank. Wants to open a new account. Introduction details of Pa I and Jeffrey: Jeffrey Epstein was a client
client' of Paul's at JP Morgan. Paul and Jeffrey Epstein had mutual friend/colleague who Introduced them while Paul was at
Jfkorgan. Over the course of a few meetings Paul was able to get Jeffrey to frog some of his funds over to Deutsche Bank
Does Deutsche Bank pay a q Yes I q No
retrocession a similar
compensation to a third party
for the introduction of this (if Yer, descrier)
relationship'
List all existing and new accou is involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
5
1 Neptune LLC 10/16/2013
2 5 Neptune LLC — Money Market 10/16/2013
Who is the primary contact
person for the RM? (Note:
Preferred method of contact
This person needs to have Harry Seiler
(emaial te phone no., fax no.,
signatory rights and/or
address, etc.):
wformabon right for the
accounts.):
SDNY_GM_00039898
https://dbforcepb.my.salesforCCINErilatitruJiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002722
Erl'A_00150507
EFTA01283985

KYC Print Page 2 of 13
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Neptune LLC Acct. Number Acaseallablei
Account Manager: Paul Morris
What Is the purpose d the account (e.g. portfolio management advisory account custody services, Song-term investment payment/expense
account)/ Checking account used for the daily needs of running Jeffrey Epstein's home In NYC.
Indicate from where the assets are expected to wive/
El DB Group: Same Booking Center (indicate account number):
O DB Group: Other Booting Center (indicate DB location and account details):
RI Other Insbtution (Indicate name & location): 31/Morgan. New York
O Physical Deposits (specwy cash, '<turtles, cheques, ...):
What Is the expected size and frequency of regular Inflows and outflows for the account (IndiCat estimated number and volume per month)/: Roughly 10
Inflows and outflows per month ranging from $4000 to $10,000
I Currency I USD
What Is the expected volume ce assets and currency fix the account approx. 90 days after opening/ I
110000 'Currency I USD
What Is the expected volume d assets and currency for the account approx. one year after opening/
DoesAMI the client have Assets Under Management (AuM) within CO3 under Eur. 3M/ Oyes E No
Please list aN parties related to the account.
For each party:
• Check if a source ef 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).
• If none of the check boxes apply, describe the party, relation to the account In the -Other column.
• Always describe the relations* between the parties in the last olurm.
• Please dril down to the ultimate/underlying Beneficial Owner(s).
_egal5eunptien AccoundPIC Setter of Jltimate bgnatory.imitedrinanclal Significant _egal SraMor/Settket-oundincp3ther
laity-ISource Holder Ownertrust/ Beneficially Full PO* Intermediary SharetiolderRepresentathre Donor (please
if Wealth Founder of 3wner FOA (FIM) (> =25%) describe
equired Foundation Non-PIC other toles
entity and/or
Parties (inckate mdicate
related to ownership relationship
this %) between
account oarbes)
2 O O
1 El O _ N L e C ptune, q O O O O El O O
0 Ea Jeffrey rn 0 D 5 0 OM 0 i is
2 Epstein I.--J
3 O • ader a at t:3 • 0 O • O O O
Darren
4 O O ndylce • • O O O O O O O •
SDNY_GM_00039899
https://dbforcepb.my.salesforeCLINEr/IDEgrardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002723
EFTA_00I 50508
EFTA01283986

KYC Print Page 3 of 13
2. Account Ownership Summary
Account Name: Neptune LLC — Money Market Acct. Number (ifa vailable).
Account Manager: Paul Morris
What is the purposed the account (e.g. portfolio manag meet, advisory account, custody service, long-term Investment, payment/expense account)/ Money
Market to hold funds necessary to run the costs associated with Jeffrey Epstithis NYC home
Indicate from where the assets are expected to arrive/
O DB Group: Same Booking Center finckate account number):
0 DB Group: Other Booking Center (indicate DB location and account detals):
14 other Institution (Indicate name & location): WMorgan. NYC
II Physical Deports (specify cash, 'aortic., cheques....):
What Is the expected size and frequency of regular Inflows and outflows for the account (indicate estimated number and volume pa month)' Roughly 1-3
mfbws and outflows per month ranging from $1,000 to $10,000
I Currency I USD
What is the expected volume d assets and currency fa the account approx. 90 days after opening/ I
What is the expected volume of assets and cwrency for the account approx. one year after 110.000 I Currency 11150
owning'
Does/W1N the client have Assets Under Management (AuM) within Ce under Eur. 3al? O Yes M No
Please Ilst aN parties related to the account.
For each party:
• Check de source of wealth description is required for the Party.
• Check the appropriate box to describe the relationship of the party to this account (> I can be selected).
• from of the check bates apply, describe the partys relation to the account in the 'Other' column.
• Ahvays describe the relationship between the parties in the last olumn.
• Please drill down to the vicariate/un0ertying Beneficial Owner(s)
_eganescnpbcn AccountPIC Settle of _Minute Signatory imited Financial Significant .egal Srantor/Settice soundinspOther
Enbtpf Source Holder OomerTrust/ Beneficially Full PO* Intermediary Sharelxilder2epresentatiue Dona (please
of Wealth Founder of owner ?OA (FIM) (> =25%) describe
equired Foundation Non-PIC other roles
entity and/or
Parties (imicate indicate
related to ownership relationship
this S) between
account settles)
1 2 2 L"L'CmiMt' 'El O O is O DD El • O
2 O la Ejepsfftreeinf O OD Ea 21 O O O O O
a • N
3 O O BHiaenrY Ill 0 • O II O II
Darren is
4 O O Inclyke [JO O g O O O O •
SDNY_GM_00039900
https://dbforeepb.my.salesforealNErilEardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002724
EFTA_00I 50509
EFTA01283987

KYC Print Page 4 of 13
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Indhnduars Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953
county of Residence: USVI Country of Ctaenship: USA
Has dent resided outside of
Ltte Saint James Saint Thomas 00802 US Virgin Islands his/her county of nationality Oyes g No
Address of primary residence:
for 5 years or more'
Professioni0ccupation: Self Empobred Tax ID / SSN: 090-44-3348
Current Employer: Southern Financial LLC Position/Me/Rank: President
Address of employer:
Does the person work as senior executive of a DB-recognized regulated entity In the financial ri __ fogi
ndustre or an enbty listed on a CB-recognised exchange' (Not applicable for operating entitles t--i ICS W 4°
Is the individual a Politically Exposed Person (PEP)'(1 Yes, desefibe) OYes g No
To the best of your knowledge, is the individual related to an employee of the DB group'(/ 0 Family 0Friendship 5 None
Fan* or rnencWup, desote)
D To e u th ts e c h b e e s B t a o n f k y ( o e u .g r . k , n e o x w te le rn d a g l e l , e i g s a t l h c e o i u n n d s i e vi l d , c u l a ie l n p t a r r e ty fe t r o ra a l s n o a u l- r b ce 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
services)7(1Yesodesente)
If applicable, indicate which bank officers have met the Indicate where and when the client meebng(s) took place:
Person:
Ghent Private Client Placed
Bank Officer Names) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris El • 0 9/13/2013
O D O
• • 0
0Wealth Details for this in:Mk:WI are not filled in, because they are the same as for the fdlowing person:
38. Wealth Details (Only for parties requiring source of weath description as indicated in Section 2)
Nature of the Individual's Business: Private incsb,.nb
Primary Country of source of wealth/source of Funds'
Primary indusby of source of WealUVSource of Funds'
,._...,
Summarise Source of Wears: Ki Business Owner 0 Salarygamings Rilmestment 0 Inheritance/Gels 00ther:
Further Describe Source of liVealth /Detail the history of wealth or each of the soarers: (e.g. For trusts, how did senior accumulate wealth" For Inheritance,
how did family 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 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 finandal 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 island of St. Thomas in the US Virgin Islands. All of hi clients
were anonymous except for the very wealthy businessman Leslie Wexner. Hs 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): $50 WI • 100 MM
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to nest with PWM(S):
Other Known Financial Institutions:
Institution: JPMorgan County: USA Est. Assets Under Mgt: 200,000,000.00
SDNY_GM_00039901
https://dbforeepb.my.salesforeC5CINErilEardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002725
EFTA_00150510
EFTA01283988

KYC Print Page 5 of 13
Institution' Counby: Est Assets Under Mgt:
COUntly Est Assets Under Kilt
PPlleeaassee indicate the family situabon of the individual (marital status, other family members, etc.):
SDNY_GM_00039902
littps://dbforcepb.my.salesforcCaNEIDEschilidiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002726
EF1'A_001505 I I
EFTA01283989

KYC Print Page 6 of 13
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
IndMduars Name: Harry Beler - 00000487202 Date of Birth: S/9/1956
Country of Residence: USA Country of Citizenship: USA
Has dent resided outside of
Address of primary residence: 12 Gofer Drive Homey NY 10952 USA his/her country of nationality O Yes ®No
for 5 years or more>
ProfessoniOccupation: Accountant Tax ID / SSN: 081-52-0727
Current Employer: HBRK Associates Positlonfillie/Rank
Address of employer:
Does the person work as senior executive of a DO-recognized regulated entity In the financial I-,
ndustry' or an entity listed on CO-recognised exchange? (Not applicable foe operating entitles Yes EIS
Is the individual a Poetically Exposed Person (PEP)1(if Yes, descnbe) ElYes Ea No
To the best of your knowledge, is the individual related to an employee of the DB group/if D Family O Friendship EA None
Family or Friendship, descrbe)
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 lil No
servIces)>0f Yesoltrate)
If applicable, indicate which bank officers have met the Indicate %Mere and when the cent rreebng(s) took place:
person:
[lent Private Client Place of
Bank Officer Rump) Bank Office: Other Location (specify): Date:
Domicile: Business:
Paul Morris El D P1 9/13/2013
0 O
ri
L..; O O
0 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 weath description as indkated in Section 2)
Nature of the Individual's Business:
Primary Country of source of nealth/source of Funds'
Primary indusby of source of Wealth/Source of Funds'
Summarize Source of Wealth: O Business Owner O SalarwEamings OInvestment O Inheritance/Gifts 00ther:
Further Describe Source of Weahh /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance,
how did ferrety accumulate wealth?For business owners, how long in business, how many employees, level of profitatility? Indicate type of business, countries
of major activities, important business partners.)
Estimated Annual Income(S): Estimated amount of Investable assets(5):
Estimated Net Worth(S): Amount of assets planned to nest with PWM(8):
Other Knoun Financial Institutions:
InstibAion: Country: Est Assets Under Mgt:
Institubon: County: Est Assets Under Mgt
Institution: County. Est Assets Under Mgt.
SDNY_GM_00039903
Imps://dbforcepb.my.salesforCaNtEllOalniliAL000000D9Ditice... 7/30/2019
CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002727
EF1'A_00150512
EFTA01283990

KYC Print Page 7 of 13
Please nclicate the family situabon of the individual (marital status, other family members, etc.):
SONY_GM_00039904
https://dbforcepb.my.salesforeCLINErilalTdIA000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002728
EFTA_00150513
EFTA01283991

KYC Print Page 8 of 13
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for an pastes)
Indy:doors Name. Darien Indyke - 00000486405 Date of Birth: 2/19/1965
Country of Residence USA Country of Citizenship: USA
Has dent resided outside of
2 Kean Court Lkingston N) 07039 USA his/her country of nationality Ilill yes to No
Address el primary residence:
for 5 years or more>
ProfessioniOccupation: Lawyer Tax ID / SSN: 098.548596
Current Employer: Southern Financial LLC POSItiOnfilbeitinio
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
Does the person work as senior executive of a DB-recognized regulated entity In the financial I-1
ndustry' or an enbty listed on DB-recognised exchange? (Not appkable for operating entitles Yes OS
O 0
Is the individual a Pordically Exposed Person (PEP)1(if Yes, describe) Ws No
To the best of your knowledge, is the individual rented to an employee of the DB grouP>(i El F arnly O Friendship .ear None
Family or Friendship, (Sage)
To the best of your knowledge, is the individual party to a non-banking relationdup with RI
Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes No
servIces)'( if Yesiestafre 1
If applicable, indicate which bank officers have met the Indicate where and when the c 'tot meeting(s) took place:
Person:
Olent Private Client Place of
Bank Officer Name(s) Bank Offke: Other Location (specay). Date:
Domidk: Business:
• • O
O O O
EI O O
O Weath 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 vreakh 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 WeatIVSource of Bads'
Surrrnarte Source of Weedy O Business Owner O SalarwEamings O Investment O Inheritance/Gifts 00thier:
Further Describe Source of Wealth /Detail the history of wealth or each of the scuros: (e.g. For trusts, how did senior 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 advents, important busness partners.)
Estimated Annual Income(S): Estimated amount of Investable assets(s):
Estimated Net Wodh($): Amount of assets planned to elitist with PWM($):
Other Known Financial Institutions:
Institubon: County: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt:
Institution: Country: Est Assets Under Mgt.
SDNY_GM_00039905
Imps://dbforcepb.my.salesforcaINEJIDLAITAL000000D9Ditice... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002729
EFTA_00150514
EFTA01283992

KYC Print Page 9 of 13
Please indicate the family situation of the ndividual (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: Neptune, LLC • 00000487269
El 676 Private Imestrnent O
O FcundatIon/Asscclation O Trust Company O Estate a,
Type of Entity: Entity: 0
Oq Partnersh0 rurPasea Philanthrcpic/Chantable
Cornmercial
Purpose of Entity
Type of Entity Other (specify): other (specify):
Date
Country of USA incorporation// 12/21/2011
ircorporaboniregistralion: registration:
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI US. TIN/EDI: 4S-4093384
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about
revocablity,settior and beneficiaries,etc.:
Single member LLC. Jeffrey Epstein is the sole member
Mast indicate how ownership of the legal entty is reflected:
O Special attention: Bearer Shares • Indicate where shares are custodied:
Describe the chain from the drect owner of the entity to the ultimate beneficial owns (three the same pawns).
To the best of your knowkdge, 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 O No
Describe Nature of Entity's Primary Business and Investment Activities
This LLC was formed to held the funds necessary to cover the costs and taxes associated with
Nature of the business:
running Jeffrey Epstein's NYC home
Countries where business Is transacted: USA
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 ce equivalent summary cf assets/liabdities):
This LLC is funded my contrbutions made by Jeffrey Epstein.
Estimated gross receipts p.a.($):
Estimated net profit p.a. (5):
Estimated investable assets ($): <$1 MM
Potential Amount to be invested witi PWM (5): 20,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country. USA Est. Assets Under Mgt 20,000.00
Institution: Country: Est. Assets Under Mgt
Institution: Country: Est. Assets Under Mgt
SONY_GM_00039906
https://dbforcepb.my.salesforeCLINEIDEgrbadiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002730
EFTA_00I50515
EFTA01283993

KYC Print Page 10 of 13
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking Center El NY O E Offshore O Moderate mi High Risk iiacqueline Lighten:IV
NY/Offshore Risk
(Complenc *naafi.)
• DB Employee • ce managed PIC ° DB Is Trustee/Co-Trustee °Bearer Shares
4, Attaraments
A. Type of Photo ID Provided 0Drirers License 0 Passport ONatenal/State ID °Other
Checklist of names (Individuals and/or entitles) that were submitted for database searches is
B. attached 2 yes O No
C. Please indicate the results of the database searches performed
RDC searches complete 2 yes C No negative results found Eves 0 Ho
PCR checks complete 0 yes C No negative results found Oyes & No
OFAC checks complete 12 Yes O No negative results found Ores WI No
BIS searches complete (Leds/Necis, Paden, Reuters, Dow Jones, 06B) 5 yes O No negative results found Ova RI No
Denial Orders checks complete 0 Yes • No negative results found Ores El Ho
Martindale-Hubbell searched (Lawyers/ Law Finns only) Oyes E No negative results found °Yes • No
Please summarise any negative results from the database searches incloabxl above: DARREN INDYKE
KYC approved in case #1133377
NEPTUNE LLC:
See attached AML Clearance -- The RDC alert was a false hit
Negative Media: All negative media is not our client. MI negative media either predates our clients formation (2011) or is another U.C. Our Neptune LLC is a
single member LLC that runs the operations of a home
D
' JEFFREY EPSTEIN:
See KYC *01082293 and #01121718 for previous KYC approval and all pertaining documents
HARRY BELLER:
Negative Media: Not our client All negative media pertains to an environmental microbiologist Our client is an accountant
Court Cases:
a1: Deposal in 1987
Al other cases are not ow client. The other court cases refer to a Or. Harry Baer. Our client is an accountant
E. To the best of your knowledge, has the client ever been convicted of a airinal offense? IO Yes O No
To the best c4 your knowledge, has the customer ever been involved in any past litigation against
F. D D e e u u t t s s c c h h e e B B a a n n k k A A G G o o r r a a n n y y o of f P b s s su u b b s s i i d d i i a a r r i i e e s s ? o a r i l s Y th e e s, c p u r s o t v o i m de e r d t e h a re ls a t b e e n k in w g a le n g d a c ti a o n n t a e g d a O in A s R t VIY MO. O yes 0 No
asolm/Int7)or the Regulatory Control Group and notify Compoanee immediately)
Does the client or rated party have any financial or other association / attractions within RI
G' countries er regimes sanctioned by the Office of Foreign MSS Control (OFAC)? °Yes No
2
Does the client or related party have any financial a other asst.:tenon/ interactions within high risk D yes No
H.
countries?
L Corporate Documentation Attached (Legal Entitles Only) 0 yes O No O Not Applicable
3. Undisclosed Prindpal Form Complete (Intermediaries Only) °Yes O No la Not Applicable
K. If Lexis/Neris Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary el the
nature/contents of the nomEnglish Documentation:
L. Special Risk Factors
SDNY_GM_00039907
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CONFIDENTIAL - PURSUANT
TO FED R. CRIM. P. 6(e) DB-SDNY-0002731
EFTA_00150516
EFTA01283994

KYC Print Page 11 of 13
Does the account have Nexus to Special Risk Countries' Oyes Ea>
Is the account structure unusually complex' Dyes ENG
I f s o r t h th e e re p a u n r y p o in s d e k d a b tr o a n n s th fe e r n c n lie g n s t h s a e re t u s p to a t n h o ird n o p p a e rt r i a e t s in ' g company expressly L r I i Yes E N*
Is there any indkation this could be a prohibited business relationship' CI Yes E No
Are the bearer shares Identified subject to acceptable controls' 0 Yes F? No
SDNY_GM_00039908
Itttps://dbforcepb.my.salesforcaINEJIDLNIIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002732
EFTA_00150517
EFTA01283995

KYC Print Page 12 of 13
M. Case Comments
Created By Date Comments
Jacqueline ughtbody 3/14/114 3:00 pm 1 page of DB Certificate of LLC Resolution olth the 2nd that did not list all signers, Is acceptable. The orgy
revision was the 2nd page with the orrect signers that is attached separately.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2;24;2014
Paul Morns
Office Drector/Business Head: Roan M Biggar (Signature) 2:24:2014
Brian Ft. Biggar
Regional Office Director (Signature)
AML Business Risk:
(Signature)
A141. Compliance:
(Signature)
Gwen Hill ortaio Janice Franklin Gwen Hill ci/bfo Janice Franklin 3/14/2014
Jacqueline Lightbody Jacqueline LigMbody 3/14/2014
LATAM/IRIERNATIONAL APPROVALS
Client Facing Professional (CfP): (Signature)
Account Manager (Signature)
Global Market Team Head (Signature)
(GPTOO/Subi Market Team Head
.(St4T11):
NIL Business Risk:
(Signature)
AML 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 swish, 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 PWMA mericas Procedures and the PWM Global KYC Policy
SDNY_GM_00039909
Ilttps://dbforcepb.my.salesforcCaNEJIDAIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002733
EF1'A_00150518
EFTA01283996

KYC Print Page 13 of 13
(I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers.
Client Managers, etc.
Dat his Book Americas New Yoh
SDNY_GM_00039910
https://dbforcepb.my.salesforCCINBIDaiLIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002734
EFTA_00150519
EFTA01283997