EFTA01284112.pdf

KYC Print Page I of 15
DB PWM GLOBAL KYC/NCA: PART A
KYC Case a : 01748087 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
1. Relationship Details
Relationship Name: soui t if RN FINANCIAL RELATIONSHIP:00000483290 Booting Center: New York
Relationship Manager: Stewart Oldfiekt
• New PWM Relationship 12 Existing PWM Relationship
Reatiomaip to PWM:
If elating, please Indicate since when the relatIonsrop edits, provide reason (or new Profile and •
checkng account with accotnt title as Zorro Management U.C(House Acct) and adding new steno
I? Client Referral O RM Prospect O Intermediary/FIN O Other Source (CIB, etc)
Flow Was the Clangs)
Introduced, How long has the
RM personaly known the please provide details (e.g. name of referral source, how many years RN personally has losown client, etc.): Jeffrey Epstein
client? reached out to Stew Oldfieki on 3/7/17 to have a new act opened under Zorro Management Lit end add two new signers to the
new acct only.
Does Deutsche Bank pay a • Yes I l'Al No
retrocession or similar
compensation to a thrd party
for the introduction of this (//Yes, describe
relationship?
list an existing and new awaits Involved in this relationship
Legal Entity Account Name / Number Opening Date (Intended/actual)
Account(s)
I El 20110 Management, LLC - Deposit 12/27/2016
2 O Zone, Management, LIC (Howe Acct) 3/10/2017
Who is he primary contact
person or the Rati (linte: This Preferred method of contact
Darren Indyke
person needs to have signatory (indicate phone no., fax no.,
rights a d/or Information right eine' address, etc.):
for the accounts.):
SDNY_GM_00040025
https://dbforcepb.my.salesforCCINEJIDULTdiA110000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002849
EFTA_00150634
EFTA01284112

KYC Print Page 2 of 15
One sheet must be estabAshed for each account to be opened
2. Account Ownership Summary
Account Name: Zorro Management, LLC - Deposit Acct. Nunter frawarlatikt.
Account Manager stewart °Wield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-tam investment, payment/expense account)? the
purpose of this account is to nonage the daily expenses of the company
Indicate from where the assets are expected to arrive?
a
Dlit Group: Same Booldng Center (indicate account number): 35269691
O DO Group: Other Booking Center (indicate Dft location and account details):
O Other Institution- (Indkate name P. location):
O Physical Deposits (specify cash, securities, cheques, .4
What is the expected size and frequency of regular intim% and outflows for the account (ndicate estimated number and volume per month)': 0-10
inflows/outfbws between 50k and 100k on a monthly basis
ICurtency
What is the expected volume of assets and currency for the account approx. 90 days after opening? I I 16d
11000000 ICurrency I usci
What is the expected volume of assets and currency for the account apprac one year after opening?
Does ill the client have Assets Under Management (AIM) within DB under Eta 3Kr arts EiNo
Please list all partks related to the account.
For each party:
• Check if a source of wealth descnpbon is required for the party.
• Check the appropriate box to describe the relationship of the party to this account ( > 1 can 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 parties in the last column.
• Please drill down to the Stimaterunderlying Beneficial Chmer(s).
..egal 3esaipabn AccountbIC Senior of ..litimate 'Signatory _ImPeainanclal Signifkant ._egal .3antorgettlort-oundinglDther
.tntityaf Source balder Dwiserlant / 3eneficialor Full ?OA IntermedlaryShareliolderlepresentative Donor 'please
at Wealth Founder of Owner POA (FIM) (> -2596) iescnbe
-equked Foundation Non-PIC other roles
entity and/or
(indicate ndicate
Parties ownership relationship
-elated to %) Setween
his attar* mines)
Zero
i E1 O rlanagernent, El O CI • O • O O I
Lit a
2 O 5 Jeffrey • O • 2 0 • O O • •
Epstein
D O Darren O O O 121 • O O si I
5 Ind O
SONY_GM_00040026
https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002850
EFTA_00I 50635
EFTA01284113

KYC Print Page 3 of 15
2. Account Ownership Summary
Account Name: 20410 Management LLC (House Acct) Acct. Humber (ifo vadalaW:
Account Manager: stew °Weld
What is the purpose of the account (e.g. portfolio management, advisory account, custody seiVICC6, long-term Investment, paymentiexpense account)? The
purpose M the account Is to manage the monthly wanes of the company
Indicate from where the assets are expected to who,
0 CO Group: Sane Booldng Ceder (nhate account ember):
O DB Group: Other Boding Center (Indicate DO location and accowst details):
O Caw Irtgillti011 - (Indicate name & location):
O Physical Deposits (specify cash, securities, cheques, ...t
What is the expected size and frequency or regular inflows and outflows for the accomt (indicate estimate] number and volume per month)': 0-10
Mflows/outflows of no more than 10k on a monthly basis
What Is the expected volume of assets and currency for the account approx. 90 days after opening?
110000 I Currency I usd
15000 'Currency
What is the expected volume of assets and currency for the account approx. one year after opening, I usd
DoesAvill the client have Assets Under Management (AIM) vathki DB under fir. 3M7 O yes 2 No
Please list all parties related to the account.
For each party:
• Check il a source or wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• I none of the check boxes apply, describe the party's rela ion to the account in the 'Other column.
• Always describe the relationship between the parties n the last column.
• Please drill down to the WU-nate/underlying Beneficial Owner(s).
seal Description sccounWIC Settbr of Atli-rate Signatory Jetted Financial Significant ...mat `rstantor/SettbrFounding Otha
Enbtyof Source Holder OwnerTrust/ Teneficiallor Full ?OA InterrnediaryShareholderneptesentatrve Dona please
of Wealth Fowider of >taw POA (FIM) (>=2S14) *scribe
required Fotmdation Non.PIC Wier roles
entity aid/or
(Indicate ndicate
arum ownership tatlonshlp
bled to 14) between
account -tanks)
Zorro
1 O 121 anent, 9 O O O O O O O O O
LC
Jeffrey O O O
2 ID O pstein O El CI O O O O
O
3 • O Darren O • • El ID I:1 O O •
ndyko
4 O O O • O O El O O O O •
5 O O O O O O El O O O O O
SDNY_GM_00040027
https://dbforcepb.my.salesforcCLINErilDEgrlardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002851
EFTA_00 I 50636
EFTA01284114

K YC Print Page 4 of 15
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Indolduars Name: 'dire/ Epstein • 00000783289 Date of Birth: 1/20/1953
Country of Residence: USV1 Country of °Wend*: USA
Has client resided outside of
Address of primary residence: title Saint hires Saint Thomas 00802 his/her country of nationality O yes a fin
for 5 years or more'
Profession/Occupation: Set Empolyed Tax ID / 591:
Current Employer: Southern FlnaixIal U.0 Position/Tele/Rank: President
Address of emPbYer: St. Thomas United States 00802
Does the person work as senior executive of a DB-recognized regulated entity in the financial D yes ga No
rid ustry? or an enUty listed on a DEtrecognised exchange? (Not applicable for operating entitles
2
Is the indMdual a Politicaty Exposed Person (PEPy(r/ Yes, describe) O Yes No
To the best of your knowledge, Is the Individual related to an employee of the DB group?(/ • Family O faendship E None
Farr* or Frieldthip, descrbe)
To the best of your knowledge, k the Individual party to a non-banking relationship vdth
Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services)? El Yes El No
(A Yes,desabe)
Indicate where and when the dent meeting(s) took plane:
If applicable, indicate which bank officers have met the person:
Client Private Client Placed
Bank Offker Name(%) Bank Office: Other Location (specify): Date:
Domicile: Business:
O O O
• O O
• O O
O Wealth DelaNs for this individual are not flied in, because they are the same as for the following person:
38. Wealth Details (Only for parties requiring source of wealth desuiption 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?
sumnsinze Source of Wealth: Ea Business Onner 054,N/famines 0 Investment O lnheritance/Glfts • Other:
Further Describe Source of Wealth Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate swath' For inheritance, how
did Minty accumulate wealth1For business owners, how bog in business, how maw employees, level d proleabikly/ Indicate type of business, countries of major
activitles, important business partners) Festal began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982,
Epstein founded his own financial managnneit firm, 1. Epstein & Co., managing the assets of dents with more than a Mon 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. Al of his clients were anonymous
except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Steams and his financial management lima
Estimated Annual Income(S): 10,000,000.00 Estimated amount of irroestable assets(S): $50 MM - 100 MM
Estimated Net Worth($): $500 MM + Amount of assets planned to kwest WO PWM($):
Other Known Financial InsUtutions:
Institution: Country: Est. Meets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00040028
https://dbforcepb.my.salesforeCCINErilEalTdiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002852
EFTA_00 150637
EFTA01284115

KYC Print Page 5 of 15
Institution Est. Assets Under Mgt
Please indicate the lenity situation of the individual (marital status, other Caney members, S.):
SDNY_GM_00040029
Imps://dbforcepb.my.salesforCCINErlacrbadiA110000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002853
EF1'A_00150638
EFTA01284116

KYC Print Page 6 of 15
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Indrruluats Plant. Wm.!, In:yko 001c4sn40S Dated Birth:
Country of kr:seance: USA Country of Otizensh0: USA
itas client resded outside of
Livingston 07039 United States ht/her country of nationality O yes la No
Address of pasty r Noce:
for 5 years or more'
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer Southern Financial LLC Position/Title/Rank:
Address of employer. Livingston NY United States 10022
Does the person work as senior executive of a Darecognited regulated entity in the financial O ya
nd ustry? or an entity listed on a DElirecognised exchange' (Not applicable for operating entities NO
Is the indadual a Politically Exposed Person (PEPp(f Yes, tote) • Ye @ No
To the bat of your knowledge, is the Individual rebted to an employee of the DB groupt(tY • Family O FnendsNp @ None
Falter Riendship, desathe )
To the best of your knowledge, k the indbklual party to a non-hanking seat:3,15Np with RI
Deutsche Bank (e.g., edema! legal counsel, client referral source, supplier of goods or services)' O Yes No
(A Yes,desat)
Indicate where and when the clan' nreting(s) took place:
If applicable, .ideate which bank officers have met the person:
Bank Officer bands) Bank Office: Client Private Client Place of Other i ci ...I sr if D.:tr.
Donate: Business:
Stevan Oldfield 0 O O I). 1 "El lb
O CI
O
O O O
O Wealth Denies for this individual are not flied in, because they are the same as for the folcasing person:
M. Wealth DetMb (Only for parties requiring soma of wealth description as indicated in Section 2)
Nature of the IndivitharsffinineLs:
Primary Country of source of wealds/source of Funds?
Primary nanny of source of Weath/Souice of Funds/
Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inhotance/Gifts • Other:
I other Describe Source of Wealth /Dela the history of swath for ash of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how
did famfy accumulate wealth/For business owners, how brig in useless, how many employee, le et of profitability/ Indicate type of business, roulettes of major
activities, important business partners.)
I throated Annual Income($): Estimated amount of investable asseta):
Estimated Net Worth($): Mount of assets planned to hat with MKS):
Other Known Financial Institutions:
Institution: County: Est. Assets Under Mat:
Institution: Country: Est. Mies Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the indiv col (mental status, other fandy members, etc.):
SONY_GM_00040030
ps://dbforcepb.my.salesforcCaNEJIDEsciardiAL000000D9Di&e... 7/30/2019
lit t
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002854
EFTA_00150639
EFTA01284117

KYC Print Page 7 of 15
SDNY_GM_00040031
latps://dbforcepb.my.salesforcCLINEJIDerhilidiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002855
EFTA_00150640
EFTA01284118

K YC Pri nt Page 8 of 15
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownesshb Summa
3A. Individual Details (for all parties)
linkkuars Name Date of Birth:
Country of Residence: USA Country of °Wend*: USA
Has client resided outside of
Address of pernary residence: Slinky 87056 United States his/her country of natkmakY O Yet El No
for S years or more'
Profession/Occupation: Manager Tax ID / SSIV:
Current Employer: Zorro Management Posit/on/Title/Rank: Manager
Address of employer: St Thomas unked States
Does the person work as senior executive of a DB-recognized regulated entity in the financial
ndustry? or an entity listed on a DB:recognised exchange? (hot applicable for operating entitles OYin WI No
2
Is the individual a Politkaly Exposed Person (PEPP(r/ Yes, **vibe) O Yes No
To the best of your knowledge, is the Individual related to an employee of the DB groufa(if Il Family O friendsNp El None
Fein* or Friendship, desmbe)
To the best of your knowledge, is the Individual party to a nonhanking relationship with Ores 10
Deutsche Bank (e.g., extemal legal counsel, client referral source, supplier of goods or senores)? No
(I Yes, describe)
Indicate where and when the client meeting(s) took oboe:
If appicable, Skate which bank officers have met the person:
Client Private Client Place of
Bank Officer Name(%) Bank Office: Other location (specifyh Date:
Domicile: Business:
O O O
• O •
• O O
O Wealth Details for this individual are not flied in, because they are the same as for the (denying person:
38. Wealth Details (Only (or parties rogueing source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Pommy industry of source or Wealth/Souite of Funds'
Summarize Source of Wealth: • Business Owner OSekry/Eamings O Investment C inheritance/Gifts • Ott*:
(tether Describe Source of Weals/Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how
did fan* accumulate we.alth"for business owners, how bog in business, how many snant,...., level er workability" Indicate type of business, countries of *nor
activities, important business parbiers.)
Estimated Annual Income(p): Estimated amount of investabk assets($):
Estimated Net Worth($): Amount of assets planned to invest with PWII($):
I
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
lintflutk3n: Country: Est. Assets Under Mgt:
Please and it ate the lam fi sit toot. of the individual (roar till status, other family members, etc.)'.
SDNY_GM_00040032
https://dbforcepb.my.salesforeCLINErilEardiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002856
EFTA_OOI 50641
EFTA01284119

KYC Print Page 9 of 15
SDNY_GM_00040033
t ps://dbforcepb.my.salesforCCINEJIDrNIIIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002657
EFTA_00150642
EFTA01284120

KYC Print Page 10 of 15
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Indroduars Name: Date of Birth:
Country of Residence: USA Country of Otiten010: USA
Has client resided outside of
Stanley 87056 tinted State his/Mr country of nationality O yes RING
Address of prmaryr ence:
for S years Cr more,
Profession:Occupation: Manager Tax ID I &SN:
Current Employer: Zocro Management LLC Position/Title/Rant Manager
Address of employer: USVI United States
2 ,40
Does the person work as senior Jacobite of a DWrocognized regulated entity in the financial O y.<
ndustry? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities
2
Is the individual a Polnicalty Exposed Person (PEPp(d Yes, describe) . Yes No
To the best of your knowledge, is the individual related to an employee of the DB grafp?(f O Family O Friendship Rhone
Faster Friendship, describe)
To the bat of your knowledge, a the Individual patty to a no-nbanking relationship with
Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services), LI Ye' El No
(I Yes,desabe )
Indicate while and when the (lent meetiiN(s) took place:
If applicable, aureate Muth bank officers have met the person:
CClliieenntt Private Client Place of
Bank Officer Name(s) Bank Office: location (specify) Date:
Donidle: Business:
O O O
• O O
• O O
ri.
Wealth Details for this inzlendual are not filed in, because they are the same as for the Mowing person:
38. Wealth Detail, (Only for parties reguring source of weal desolation as indicated In Section 2)
Nature of the Individual's Buenas:
Primary Country of source of wealth/source of Funds?
Primary industry ol source of Wealth/Scotto of Funds?
Summarize Source of Wealth: OBusiness Owner OSalary/Famings O Investment O Inheritance/Gifts /Other:
further Describe Source of Wealth /Dela the history of wealth for each of the sources: (e.g. For trusts, haw did senior accumulate twalth? For inheritance, how
did family accumulate wealUVFor business owners, how long in useless, how many employees, level of proltabihtyl Indicate type of business, countries al major
advances, important bigness partners.)
I *mated Annual Income($) Estimated amount of investable assets($):
Estimated Net Worth(f) Amount of assets planned to That with PWII4($)
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the !only situation of the individual (rnantal status, other handy members, etc.):
SO _GM_00040034
NY
Imps://dbforcepb.my.salesforcCuNEJIDEJardiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002858
EF1'A_00150643
EFTA01284121

KYC Print Page 11 of 15
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity OctalIs (for all Legal Entitles)
Legal Entity Narne: Zorn) Management, Lit - 00003550331
O FoundatIon/Anociatlan O Trust ®Company O Estate Ofinvate Investment O
type of Entity Purpose of Entity:
• Partnership PhiaMhropic/Charitabk OCommercbl
LLC Purpose of Entity
Type of Entity Other (specify):
Other (specifyY
Country of USA Date of Incorporation / 12/14/1016
mcorpxation/registration: regkgration:
Identified on Customer Profile No
Volcker Status: Vokker Flag:
St. Thomas; USV1 00802 United
Address (city, street, post UU..SS.. TIN/EIN:
States
code):
Provide a description of the entlys organtational structure, Its ownership structure and Its Top Management. For trusts/foundations, Include information about
revocabilty,settbr and benefickarles,etc.:
Jeffrey Epstein is the sole manager and owner of this entity.
Signors on this account wall be:
Jeffrey Easter
Darren Indyke
Signors co the house acct are:
Jeffrey Epstein
Darren Indyke
Please mdkate how (warship of the legal entity is reflected:
D
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the deed owna of the entity to the ultimate beneficial owner (if not the same peaces): Jeffrey Epstein is the sole manager and owner of
I his entity.
sows on this account will be:
Jeffrey Epstein
Darren Indyke
Signors on the house acct are:
Jeffrey Epstein
Darren Ind
To the bat of your knowledge, is the entity party to a non-banking relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, suppler of goods or services)': Yes • No
Describe Nature of Entity's Primary Business and Investment Activities
a real estate holding company. It is a company formed to an and operate al acWities associated
Nature of the business:
aWth a property that Jeffrey Epstein owns in the US Vrgin islands.
Countries where business is transacted: USA
Number of employees: 1+
3D. Wealth Profile (Cs* for parties requiring soave of wealth desorption as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of wealth/Source or Fundst
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabities):
This company Is funded by Jeffrey Epstein's personal wealth
Estimated gross receipts p.a.($): 1,000,000.00
Estnoted net profit pa. (S): 1,000,000.00
SDNY_GM_00040035
https://dbforeepb.my.salesforeCLINEIDEgrNIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002859
EFTA_00150644
EFTA01284122

KYC Print Page 12 of 15
Estimated investable assets ($): f 1 MM • 2 fel
Potential Amount to be Wrested vdth PVill ($):
Other Known Rnancisl Institutions:
Institution: Country Est Assets Under Mgt
Insntution: Country. Est Assets Under Mgt:
Insttitbn: Country. Est. Assets Under Mgt:
SONY_GM_00040036
Imps://dbforcepb.my.salesforCCINEJILIFschiltiA10000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002860
EFTA_00150645
EFTA01284123

KYC Print Page 13 of 15
DB PWM GLOBAL KYC/NCA: US/LatArn/Intli PART B rA
Relationsb Name SOUTHERN FINANCIAL REIATIONSHIP
Risk Rating Comments:
I:
Booking Center Env O Offshore IR° m°detate 0 Nigh Risk jToccaull chung
/Offshore ask
(Compliance Signature)
D DB EmPlaYee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares
0. Attachments
A. Type of Photo ID Provided 5 Drivers Lkeitse O Passport • Nate:gal/State 10 • Other
B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached 0 Yes O No
C. Please indicate the results of the database searches performed
RDC searches complete i Yes O No negative results found Oyes 0 No
PCR checks complete Ryes Olio negative results found Oyes 10 No
OFAC checks complete Eves O No negative results found Oyes RIND
BIS searches complete (LexisMexis, Factam, Reuters, Dow Jones, D&B) 5 yes • No negative results found Oyes 0 No
Denial Orders cheeks complete Dye ONo negative results found Oyes 12INo
MarundaieHubbell searched (LawyereLaw Ferns only) Oyes EINo negative results found Oyes O No
D. Please summarize any negative results from the database searches indicated above:
E. To the best of your knowledge, has the client eve been convicted of a criminal offense? O yes El No
To the best of your knowledge, has the customer ever been Involved In any past litigation against
F Deutsche Bank AG or any of its subsidiaries or Is the customer threatening ligation against Deutsche n yes R No
Bank AG or any of as subsidiaries? al Yes, proved debts beefy and event Quedy Mgt
gatAMfinfilar me Repute:ay Control Group and notifyCompliance immediately)
a Does the read or related party have any financial or other association / interactions within countries O yes g No
or regimes sanctioned by the Office of Foreign Assets Control (CF AC),
Dees the client or related party have any financial or other association/ etteractions within high risk o yes zit
II.
countries?
I. Corporate Documentation Attached (Legal Entities Only) 01Yes ON* O Not Apprimble
J. Undisclosed Principal Form Complete (Intermediaries On/y) Oyes O No @Not Applicable
K. If Leds/Neds Search Results, Corporate Document or Other Supporting Documentation is not in English, please provide an English summary of the
naturelcontents of the non English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? O yes Ono
Is the account structure unusually complex? • Yes ®No
Is there any Indication the client set up a non operating company expressly O yes
for the purpose of transferring shares to third pant? RIND
Is there any indication this could be a prohibited business rebitionShiP1 Ova RIND
Are the bearer shares Identified subject to acceptable controls? O yes Ono
SDNY_GM_00040037
https://dbforcepb.my.salesforCCINErilDaiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002861
EFTA_00150646
EFTA01284124

KYC Print Page 14 of 15
H. Case Connate
Created By Date Comments
Please revert to recently approved KYc case 01696913 for updated research on all parties. Research on new
Cynthia Rodriguez 3/7/117 2:38 PM
are attached to this < urrent case.
ONSHORE APPROVALS
Client Facing Professional (CFP3 tern sohrab Signature) 3/8/2017
erri stab
Otte Director/Business Head: Andrew F Gallivan 'Signature)
Andrew F Gallivan
Regional Office Director ,Signature)
NIL Business Risk:
(Signature)
AM Compliance:
(Signature)
Ralat4 Mercado Rafael Mercado 3/13/2017
Voonsun Chung Yoonsun Chung 3/13/2017
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (O P) (Signature)
Account Manager (Stgnature)
Glabar Market Team Head (GMT11)7Sub, (Signature)
Market ream Head (91111):
AML Business Risk
(Signature)
Alit Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENTP OLICY 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)
(CPT 's) should establish and maintain business relationships only with persons who sake our high standards of
suitability, background and character. Due diligence obtained on the client must be appropriately documented by 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 ofm y knowledge and beliefthe 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 clients) and that 1h ave followed all the procedures relating to account opening as described in the PIM,
Americas Procedures and the Pit Al Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Atanagers, Wealth Advisors. Product Officers. Brokers.
Client Managers, etc.
Deutsche Bank Americas New York
SDNY_GM_00040038
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KYC Print Page 15 of 15
SDNY GM 00040039
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002863
EFTA_00150648
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