EFTA01283998.pdf

KYC Print Page I of 14
DB PWM GLOBAL KYC/NCA: PART A
KYC Case e Status : 6. Approved
One sheet must be established Der relationshi • list all accounts included in the relationshi
1. Relationship Details
Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP.00000483293 Booking Center: New York
Relationship Manager: Paul Morris
• New Mil Relationship Eli Existing PWM Relationship
Retabonship to PWM:
If existing, lease indicate since when the relations p exits, provide reason for new profile and attach • pdate of
KYC add Darren Indyke as an authorized Signer. Darren has been KYC approved in ca
O Client Referral 0 RM Prospect O intermediary/PIM O Other Source (Cit etc.)
How Was the Client(s)
Introduced' Mow long has the please provide debts (e.g. name of referral source, how many years RM personally as known client, etc.): Jeffrey Epstein
RM Personally known the is 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 a mutual friend/colleague who Introduced them while Paul was at
JPflorgan. 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 O No
retrocession or similar
compensation to a third party
for the introduction of this (ft Yes, desenbe)
relationship'
List all Astra and new accounts Involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
e
1 NES, LLC 10/28/2013
2 FA NES, L C -- Money Market 10/28/2013
Who Is the primary contact
person for the RH' (Note:
Preferred method of contact
This person needs to have Harry Belkr
(indicate phone no., fax no.,
signatory rights and/or
eniail address, etc.):
informabon right for the
accounts.):
SONY_GM_00039911
hups://dbforcepb.my.salesforCCINBIDEptiLIJIA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002735
EF1'A_00150520
EFTA01283998

KYC Print Page 2 of 14
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: NES, LLC Acct Number (if avast*)
Account Manager: Paul Morris
What's the Purpose of the account (e.g. portfolio management, advisory account. ustody services, long-term investment, PaYment/exPense
account), Checking account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes
Indicate from where the assets are expected to antre,
O 08 Group: Same Booking Center (indicate account number):
El 08 Group: Other Booking Center (indicate 08 location and account details):
2 Other Institution (Indicate name & location): JPFlagan. New York
• Physical Deposits (specify cash, securities, cheques, ...):
What is the expected sloe and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)s: Roughly 10
Inflows and oulfbvn per month ranging from $1000 to $20000
I Currency I USD
What is the expected volume of assets and currency for the account approx. 90 days after opening, I
1100000 I Currency I USD
What s the expected volume of asses and currency for the account approx. one year after openings
Does/wil the client have Assets Under Management (AuM) within D8 under Eta. 3M, O Yes EM No
Please last all parties related to the account.
For each party:
• Check if a source of wealth descnotion I required for the party.
• Check the appropriate box to describe th relationship of the party to this account (> 1 can be,cleated).
• If none of the check boxes apply, describe the parties relation to the account in the 'Other' column.
• Always describe the relationship betwee the pantie in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner( ).
_opal )escriptim AccounSsIC Settor of Jftimate 75ignatcry imiteciAnancial Significant -eget Srantor/SettorfoundingOther
Enter/ Source Holder OnnerTrust / beneficiabr Full PO* InterniediaryShareholderkepresentative Donor (please
of Wealth Founder of Owner ,OA (FIM) (>=25%) describe
required Foundation Non-PIC other roles
entity and/or
Parties (Indicate ndicate
related ownership relationship
to this %) between
account parties)
1 2 123 LNLcES' 5 O • • • • • O • •
2 O O arry n 2 O O O O O
BHeller i--, O O O
3
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in
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.
qO m 2 21 • it • • •
4 O O I D nd a y r k re e n m O O • l21 O O O O O
SDNY_GM_00039912
https://dbforcepb.my.salesforeCLINEIDEgrNiliAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002736
EFTA_OOI 50521
EFTA01283999

KYC Print Page 3 of 14
2. Account Ownership Summary
Account Name: NES, LLC — Money Market Acct Number (if avanYable)
Account Manager: Paul Horns
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 the funds necessary to cover the costs associated well running one of Jeffrey Epstein's homes and earn interest
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 details):
0 Other Institsition (Indicate name & location): JPMorgan. New York
O Physical Deposits (specify cash, securities, cheques, ...):
What s the expected s¢e 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 $10000
I Currency I USD
What 5 the expected volume of assets and currency for the account approx. 90 days after opening' I
What Is the expected volume of asses and currency for the account approx. one year after 1100000 I Currency I USD
opening?
Does/will the client have Assets Under Management (AuM) swthin DB under Eur. 3M' O Yes Fano
Please list all parties related to the account
For each party:
• Check if a source of wealth description is required for the party.
• Check Me appropriate box to describe the relationship of the party to dm account (> I can be selected).
• f none of the check boxes apply, describe the party's relation to the account In the *Other column.
• Always describe the relationship between the partle in the last column.
• Please doll down to the ultimate/ Merl), ng Beneficial Owner( ).
-egt:Zescripben AccountPIC gettior of JkilllatetI g natery-IStedFlnanclal gnIkandt erl_eepgreets entativeSrantor/Settiorroundi • • . -
Sn Source Holder Owner rust / Beneftla r Full ?OA Intennedla rehol Donor please
of Weath Founder of Jyrner POA (PIM) (>=25%) Jescribe
required Foundation Non-PIC other roles
enbty and/or
Parties (indicate ndicate
related ownership -elatIonship
Fo this 16) Setween
*count Aube)
NES
1 tra. ra LLC • 5 O O 11.1 O O O O • •
2 O O BHeaieirsr ' O OO O En O O O O O
3 • El Ckdrs"ein O • O O 0 O O • O O
4 O O IDndaymken O O O O 0 O O O O O
SDNY_GM_00039913
Imps://dbforcepb.my.salesforcalNErillagrit\IIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002737
EFTA_00150522
EFTA01284000

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 pubes)
Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953
County of Residence: USVI Country of Citzenslup: USA
Has client resided outside of
Address of primary residence: late Saint James Saint Thomas 00802 US Virgil Wands his/her country of nationality Chesil!' No
fa S years or mire?
Profession/Occupation: Self Empolyed Tax ID / SSW: 090-41-3348
Current Employer Southern Financial LC Positonrntie/Rank President
Address of employer:
Does the person work as senior execubVe of a DB-recognized regulated entity in the financial
ndustir or an entry tested on DEr-recognised exchange? (Not applicable for operating Oyes ®No
ninnies
Is the ndrvidual a Politically Exposed Person (PEP),(it Yes desoibe) D'res ®No
?2
To the best of your knowledge, is the Individual related to an employee of the DO group(f II parnay ['Friendship None
Faintly or Them/ship, 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, supplier ce goods or O Yes FA No
servicesflif Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and Mien the lent meetang(s took place:
person:
Client Private Client Place of
Bank Officer Name(s) Bank Office: Other Location (spixty): Date:
)oinkik: Business:
Paul Mails • O ?a 10/21/2013
O El O
• O O
• Wealth Details for this individual are not fined in, because they are the same as for the following person:
38. Wealth Malls (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds'
Summarize Source of Wealth: Z Business Owner OSalary/Earnings ®Investment OInheritance/Gifts ['Other:
Further Describe Source of Wealth /Detad the history d wealth for each of the sources: (e.g. For trusts, how did settkr accumulate wealth? For inheritance,
how did family accumulate wealtlitFor business owners, how long in business, how many employees, level of profitability" Indicate type of business,
countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a
partneri n 1980. In 1982, Epstein founded his own fnancial management firm, J. Epstein & Co., managing 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 it on the bland of St. Thomas in the US Virgin Islands. Al
of his clients were anonymous except for the very wealthy businessman Leslie Wexner. Hs wealth has come from his days at Bear Stearns and his financial
management firms
Estimated annual Incone(d): 10,000,000.00 Estimated amount of investable assets(S): $100 MM - 500 MM
Estimated Net Worth(6): $100 MM - 500 MM Amount of assets planned to invest with PWM($):
Mier Known Financial Institutions:
SDNY_GM_00039914
https://dbforcepb.my.salesforeCCINEIDEgrardIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002738
EFTA 00150523
EFTA01284001

KYC Print Page 5 of 14
Inslotubar JPMorgan Country: USA Est Asset Under Mgt 40,000,000.00
Int:Auto:4E Deutsche Bank Country: USA Est. Asset Under Mgt 154,000,000.00
lostRuben: Country: Est Asset Under Mgt:
Please indkate the family stuation cf the Individual (martal status, other fame/ members, etc.):
SDNY_GM_00039915
https://dbforcepb.my.salesforcCLINEIDEgclailiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002739
EFTA_00 150524
EFTA01284002

KYC Print Page 6 of 14
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Harry Beller - 00000487202 Date of Beth: 5(9/19%
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
Address of primary residence: 12 GuarDrive !testy NY 10952 USA his/her country of nabonalty O Yes iii No
fa S years or more
Profession/Occupalkm: Accountant Tax ID / SSN: 081-52-0727
Current Employer: PERK Associates, Inc Positenrntle/Rank:
Address of employer:
Does the person work as sentr executive of a DB-recognized regulated entity in the financial
Mushy' or an entity listed on a DE-recognised exchange' (Not applicable for operating Oyes ®pis
entitles
OYU ®No
Is the individual a Politically Exposed Person (PEP)'(/' Yes describe)
To the best of your knovAedge, Is the individual related to an employee of the DO group(/' OFamay OFriendship r4 None
Family or Friendship, desenbe)
To the best of your knowledge, is the individual party to a nen-banking retabonshp with
Deutsche Bank (e g., external legal counsel, client referral source, supplier of goods or (]Yes garto
services),(1 Yes, descrtv )
If applcable, indicate which bank officers have met the Indicate where and yam the client meeting(s took place:
person:
Bank Officer 'la me(s) Bank Office: D C c li a en ik t i P k r : i vate B C u l s ie in n e t s P s l : ace of Other Location (specify): Date:
Paul Morris • 9 71 10/21/2013
[1 • O
C;l Cl n
• Wealth Details for this indiv dual are not filled in, because they are the same as for the folkmmg person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature d the Individuals Business:
Primary Country of sauce of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds'
Summarbze Source of Wealth: Cl Business Cvmer Li Salary/Earnings E Invesbnent El Inheritance/Gifts nOther:
Further Describe Source of Wealth /Debi the history d math for each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance,
how did family accumulate we Ith?For business owners, hew long In business, how many employees, level of profitability' Indicate type of business,
counties of major actiWies, Important business partners.)
Estimated Annual Income($): Estimated amount of investable assets($).
Estimated Net Worth($): Amount of assets planned to invest with PWM(S):
Other Known nancial Institutions:
Instituben: !Country Est Assets Under Mgt:
Instrbstien: Country: Est Assets Under Mgt:
SDNY_GM_00039916
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002740
EF'FA_00150525
EFTA01284003

KYC Print Page 7 of 14
Instrtubon Country Est Assets Under Mgt:
Please inclicat the family stuabon of the individual (manta] status, other famiy members, etc.):
SDNY_GM_00039917
Imps://dbforcepb.my.salesforcCaNEJIDEriardiA1000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002741
EFFA_00150526
EFTA01284004

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: Darren Indyke - 00000486405 Date of Birth: 2/19/1965
Country of Residence: USA Country of Citizenship: USA
Has client resided outside of
2 Kean Court Livingston N) 07039 USA his/her country of nationality Ekes O No
Address of residence:
fa S years a more
Profession/Occupalkin: Lawyer Tax ID / SSN: 096.5443596
Current Employer Southern Financial LLC PosItonMUe/Rant
Address of employer: AS Lexington Ave New York NY USA 10021
Does the person work as senior executive of a DB-recOgnked regulated entity in the financial
ndustry' or an entity listed on DB-recognised exchange? (Not applicable for operathig Oyes No
entities
Dyes 0N0
Is the individual a Politically Exposed Person (PEP)7(d Ye; dewily)
To the best of your knowledge, Is the Individual related to an employee of the DB group' (af OFR,* OFrtendshlp rd None
Family of Friendship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relabonship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or Ores FA No
servxes) s( i Yes, descnbe )
If applcable, indicate vhich bank officers have met the Indicate where and ‘‘hen the client meeting (s) took place:
person:
Client Prrvate Client Place of
Bank Officer ?la me(s) Bank Office: Other Location (specify): Date:
Domicile. Business:
• O r t_ _I
r--,
[1 O
:r._-_1; D '---'
El Wealth Details for this individual are not filled in, because they are the same as for the folk:Nang person:
3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individuals Business:
Pnmary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth: • Busyness Owner OSalary/Earnings • Investment OInherltance/Gifb. 00ther
Further Describe Source of Wealth /Debra the history d wealth for each of the sources: (e.g. Fee trusts, how did settler accumulate wealth, For inheritance,
how did family accumulate we Ith?For business owners, hate long in business, how many employees, level of profitability? Indiate type of business,
countries of major activities, importint business partners.)
Estimated Annual Incorne($): Estimated amount of Investable assets($):
Estimated Net Worth($): Amount of assets planned to Invest with PWM($):
Cther Known ;uncial Institutions:
Insbtubco: Country: Est Assets Under Mgt:
Insbbatieri: Country: Est Assets Under Mgt:
SDNY_GM_00039918
https://dbforcepb.my.salesforCCINEIlLardiA110000000D9Di8ce... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002742
EFFA_00150527
EFTA01284005

KYC Print Page 9 of 14
Institution: Country: Est. Assets Under Mgt:
Please indite 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 all Legal Entitles)
Legal Entity Name: NES, LLC • 00000487265
SFoundabco/Associabm 2Company J Private Invest nent O
IN Trust O Estate
Type of Entity: Purpose of Empty:
Phaanthropic/Charltathe 0
O Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 8/13/1998
incorporation /
Incorporation/registration:
registrabcn:
Vokker Status: Volcker Hag:
Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI US. TIN/EIN: 13-4146141
code):
Provide a descriptko of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundabons, include information
about NYCcabitY.setrJor and beneficiaries,etc.:
Single member LLC. Jeffrey Epstein is the sole member
Please Indicate how ownership of the legal entity is reflected:
0 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 he same persons)
To the best of your knovAedge, is the entity party to a nowbanking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes • No
senkes)'r:
Describe Nature of Entity's Primary Business and Investment Activities
NES, LLC was formed to take care of the expenses associated with running one of Jeffrey
Nature of the business:
Epstem's homes
Counties where business s transacted: USA, USVi
Number of employees: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds'
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Al funds come from Jeffrey Epstein, who has been KYCd previously
Estimated gross receipts p.a.(5):
Estimated net profit p.a. (5):
Estimated investable assets (5): <$1 MM
Potential Amount to be invested with PWM (5): 200.000.00
Other Known Financial Institutions:
Institutko Wilorgan !Country: USA Est. Assets Under Mgt 200,000.00
Institution: Country: Est. Assets Under Mgt
SDNY_GM_00039919
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002743
EFTA 00150528
EFTA01284006

KYC Print Page 10 of 14
Canty: EA. Assets Under Mgt
SONY_GM_00039920
Imps://dbforcepb.my.salesforcCCINEADWidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002744
EFTA_00150529
EFTA01284007

KYC Print Page 11 of 14
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUDERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking Center R us E Offshore Risk0 Moderate n m 1 ill ion fuskilacqudine Uri,*
N0Y/Offshore
(Compliance Signature)
0 DB Employee 0 ce Managed PIC • DB is Trustee/Co-Trustee 0 Bearer Shares
4. Attadiments
A. Type of Photo ID Provided 2 Drivers License E7 Passport 0 National/State ID 0 Other
Checklist of names (inclivaals and/or entities) that were submitted for database searches is
B. attached El Yes • No
C. Please Indicate the results of the database searches performed
RDC searches complete 2 Yes 0 No negative results found 2 Yes • No
PCR checks complete 2 Yes 0 No negative results found 0 Yes J No
OFAC checks complete 2 Yes 0 No negative results found 0 Yes 0 No
Ryes
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, Cell) • No negative results found • yes .74 No
Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 0 No
Martindale-Hubbell searched (LawyersAaw Firms orgy) 0 Yes El No negative results found Oyes • No
Please summarize any negative results from the database searches indicated above: DARREN INDYKE:
Previously KYC approved in case #1133377
JEFFREY EPSTEIN:
Previously KYCd and approved In: 01082293 and 01121718
D
' HARRY BELLER:
Previously KYCd and approved: 01133624
NES, I1C:
Negative media does not pertain to our dent Our client is an LLC that is only used to pay for the costs associated with running a prate bane
No court cases
E. To the best of your knowledge, has the client ever been convicted of a criminal offense> 2 Yes • No
To the best of your knowledge, has the customer ever been Swerved In any past litigabon against
Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against e
F. Deutsche Bank AG or army of Its subsidiaries' a' Yes, provkle Ma* below and contad Quaity 0 Yes No
Mgt (Latin inn) ache Rflulawy Control Group andn otify Compaanc• immealattly)
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)? 0 Yes 5 No
H. Does the client or rated party have any financial or other association/ nteracbcris within high i e
risk countries? Ur❑ Yes No
I. Corporate Documentation Attached (Legal Doses Only) 2 Yes • No • Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) 0 yes • No 74 Not Applcabk
K. If Lexis/Nexis Search Results, Corporate Documents or Other supporting Documentations not in English, please provide an English summary of the
nature/contents of the non-Engise Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Counties' 0Yes 0 No
Is the account structure unusually complex?
SDNY_GM_0003992
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002745
EFTA_00I 50530
EFTA01284008

KYC Print Page 12 of 14
❑Yes id No
Is there any indicabon the (hint set up a non operating company
expressly for the purpose of transfemng shares to third parties' Dyes @No
Is there any indicaton this could be a prohibited business relabonshipl ❑Yes ICJ No
Are the bearer shares Identified subject to acceptable contras' O Yes No
SONY_GM_00039922
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ht t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002746
EF1'A_00150531
EFTA01284009

KYC Print Page 13 of 14
M. Case Comments
Created By Date Comments
uterine Lightbedy 3/1y1143:20 PM 1 page of DB Certificate of LLC Resolubon with the 2nd that did not hit all signers, is acceptable. The only
evision was the 2nd page with the correct signers that is attached separately.
ONSHORE APPROVALS
Client Facin Professional (CFA): Paul Morris (Signature) 2/24/2014
Paul Moms
Office Director/Business Head: Brian M. Biggar (Signature) 2/24/2014
Brian M Biggar
Regional Office Director: (Signature)
MIL Business Risk:
(Sgnature)
MIL Compliance:
(Signature)
Gwen Hill o/b/o Janice Franklin Gwen MI o/b/o Janice Franklin 3/14/2014
Jacqueline Lightborly Jacqueine Liptbody 3/14/2014
LATAIVINTERMATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GHTHWSub-Maiket Team Head
tSMTH):
AML 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 ofi ts clients. To do so. Client Facing
Professionals) (I ) (CFP's) should establish and maintain business relationships only with persons who satisfy our
high standards ofs uitability. background and character. Due diligence obtained on the client must be appropriately
documentedb y the CFA. 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 ofm y knowledge and belief the above
information is correct and up to date. I confirm that!h ave 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 PWMA mericas Procedures and the PWM Global KYC Policy
SDNY_GM_00039923
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002747
EFTA 00150532
EFTA01284010

KYC Print Page 14 of 14
(1) Client Facing Professionals (CFP 's) include: Relationship Managers. Wealth Advisors, Product Officers.
Brokers, Client Managers. etc.
Deutsche Bank Americas New York
SONY_GM_00039924
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002748
EFTA_00150533
EFTA01284011