EFTA01284148.pdf

KYC Print Page I of 10
DB PWM GLOBAL KYC/NCA: PART A
KYC Case * : 01790724 Status : 6. Approved
One sheet must be established per relationshi • list all accounts included in the relationshi
1. Relationship Details
Relabonship Name: SOUTHERN FINANCIAL FtELATIONSHIP.00000.483293 Booking Center: New York
Relationship Manager: stewart oldfield
III New FUN Relationship 74 Existing PWM Relationship
Relationship to WM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile. • "This
KYC is a periodic review for high risk renxdiation"'
Original KYC1161376
Client Referral O RM Prospect O Interrnediary/FIM • Other Source (Cw, etc.)
How Was the Client(s)
Introduced' How long has the Please mime defogs (e.g. name ral source, is Rat personally has known client, etc.): Stewart Oldfield
RM personally known the and Cynthia Rodriguez contacted and /2017 to confirm If there are any material changes
client' to their Joint accoun and source of wealth. The imed that is now the sole provider of their household. She
provided recent paychecks to confirm this. relies on Income to support her Ifestyk.
Does Deutsche Bank pay a O yes 10 No
retrocession or similar
compensation to a third party
for the introduction of this Of Yes, describe).
feletimship7
List as exisbng and new account Involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 0 Deposit 12/16/2013
Who is the primary contact
person for the RM? (Note:
Preferred method of contact
This person needs to have
(mdicate phone no., fax no.,
signatory rights and/or
e-mall address, etc.):
Information right for the
account.):
SDNY_GM_00040061
hups://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002885
EFTA_00150670
EFTA01284148

KYC Print Page 2 of 10
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Deposit Acct. Number ft avatiadal.
Account Manager: stewart oldfleld
What is the purpose of the account (e.g. portfolio ma ent_,__advisonr account custody services, long-term investment, PaYment/aPerne
account)' Checking account fa the daily use of and M
Indicate from where the assets are expected to entre'
g 08 Group: Same Booking Center (indicate account number):
El 08 Group: Other Booking Center (indicate 08 location and account details):
O Other Institution - (Indicate name 8 location):
• Physical Deposes (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)': 0-4 :Awes and
outflows per month ranging from $100 to $1500
What is the expected volume of assets and currency for the account approx. 90 days 110000 I Currency I USD
after opening'
What is the expected volume of assets and currency for the account approx. one year 14379.40 I Currency I USD
after opening'
Doeshvil the client have Assets Under Management (AuM) within D8 under Eur. 3M' Dyes 2 No
Please Nat all parties related to the account.
For each party:
• Check d a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> lean be selected).
• If none of the check boxes apply, describe the parties relation to the account in the 'Other' column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the uttlmate/underlying Beneficial Ovmer(s).
.ecial )escripticri AccounWIC Setikr d Jitimate SignatorrtimitedIRnancial Significant _egal Grantor/Settloreounding Other
Zottyof Source Holder OwnerTrust / Beneficialor Full POA Intermediary Shareholdergepresentattre Donor (please
of Weath Founder of Owner POA (FIM) „.> =25%) lescribe
required Foundation ilon-PIC other roles
entity end/or
roes indicate ndlcate
fated Dwnership relationship
this it) Sebum
count arbes)
1 O O 2 El • TA 71 O O O O •
2 O 0 TA O O D O DD O • O
SDNY_GM_00040062
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002886
EFTA_00150671
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Indhicluars Name: - 00000489505 Date of Birth:
Country of Residence: USA Country of Citizenship: I.I
Has client resided outside of
Address of primary residence: his/her country of nabonalty O yes Pi No
Ice 5 years Of morel
Profession/Occupatton: homemaker Tax ID / 55N:
Current Employer PositonMUe/Rank:
Address of employer:
Does the person work as 141O:r executive of a DB-recognued regulated entity in the financial
Mosby' or an entity listed on DO-recognised exchange' (Not applicable for operating Oyes ®No
entitles
OYU ®N0
Is the individual a Politically Exposed Person (PEP)1(d Vet *suite)
TO the best of your knowledge, Is the Individual related to an employee of the DB grOup?(f OFamily OFriendshlp rd None
Family or Friendship, desalt.)
To the best of your knowledge, is the individual party to a non-banking rdabcriship with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier Cl goods or ElYes Ft No
servxes),(6 Yes,descabe)
If appkcable, indicate valid, bank officers have met the Indicate Mere and Mien the client meeting(s took place:
person.
Client Private Client Place of
Bank Officer tia imp) Bank Office: Other Location (specify): Date:
Dcmkile: /Business:
Paul Morris • D 74 12e3.2013
LI • O
r,. O n
• Wealth Details for this individual are not filled in, because they are the same as for the folkymng person:
3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 2)
Nature of the Individuals Business: homemaker
Pnmary Country of source or wealth/source of Funds,
Primary industry of source of Wealth/Source of Funds'
Summarize Source of Wealth: 1 E Business Owner III Salary/Earnings El Investment El Inhentance/Grfts DOther:
Further Describe Source of Wealth /Detail the history d wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance,
how did family accumulate wealth'For business owners, Nov ' iness, how many employees, level of profitability' Indicate type of business,
countries of major activities, important business partners.) used to work for NES, LLC (existing DB client and previously kyc approved) which is
the LISS4S is used to run Jeffrey Epstdris New York Ctty home. The legal addr f • n but the home is Kalif" East 71 St New York
NY. no longer manages the NYC home and solely relies on the Income o She has relied on income for the past 3
years
Estimated Annual Incorne(S): Estimated amount of investable assets(S): <31 W
Estimated Net Worth(S): <S1 MM Amount of assets planned to invest with PWIN(S): 20,000.00
Cther Knows Financial Institutions:
Institut:km: I Wriorgan Country: lEst Assets Under Mgt 160,003.00
I I Utak
SDNY_GM_00040063
ps://dbforcepb.my.salesforcalINEJIDEATML000000D9DiSice... 7/30/2019
t
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002887
EFTA_00150672
EFTA01284150

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Institution: Country: Est Assets Linda Mgt:
Insbtubcei: Country: Est Assets Linder Mgt:
Please indkat the family stualicc of the individual (marital status, other family members, etc ) 1=I=1
SONY_GM_00040064
https://dbforeepb.my.salesforeCaNErilDaatiAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002888
EFTA_00 150673
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KYC Print Page 5 of 10
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3L Individual Details (for all parbes)
Individual% Name: - 00000489504 Date of Birth:
Country of Residence: USA Country of Citizenship:
Has client resided outside of
his/her country of nabonality O yn ®No
Address of primary residence:
for S years or more?
Profession/Occupation: )SC Interiors LLC Tax ID / $SN:
Current Employer: JSC Interiors LLC PositionMtle/Rank: Interior Decorator
Address of employer: AS Lexington Ave 14th Fl New York NY United States 10022
Does the person work a senior executNe of a DB-recognized regulated entity in the financial
ndusby7 or an entity listed on a 06-recognised exchange' (riot applicable for operating OTOS ®No
entities
OYU ®No
Is the individual a Politically Exposed Person (PEP)'(# Yes, desert.)
To the best of your knowledge, is the individual related to an employee of the DB group(/' O F ent ElFriendshlp rd None
Fara* or Friendship, desenbe)
To the best of your knowledge, is the indrOdual party to a non-banking relabonshg with
Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes No
servxes),(6 Yes,descnbe)
If appkable, indicate which bank officers have met the Indicate sphere and %glen the client meeting (s) took place:
person:
Client pirate Client Place of
Bank Officer Nammee((ss)) Bank Office: Degnicile. Business: Other Location (specify): Date:
Stewart %Meld • O g 6/23/2017
El O 11
r-i E ri
• Wealth Details for this individual are not filled in, because they are the same as for the fob:ming person:
3B. Wealth Details (Only for parties reguinrg source of wealth description as odcated in Section 2)
Nature of the Individuals Business: intenor design
Pnmary Country of source of wealth/source of Funds'
Primary industry of source of Wealth/Source of Funds'
Summanze Source of Wealth: • Business Owner RI Salary/Earnings O Investment O Inheritance/Gifts ['Other:
Further Describe Source of Wealth /Detail the history of vdealiR for each of the sources: (e.g. For trusts, how did settke accumulate wealth? For inheritance,
how did family accumulate iwalth'For business owners, hot In business, how many empayees, level of profitability? Indicate type el basin
Inntries of major activities, important business partners.) went to school for interior design and now works as a interkx decorator for
a currently client of D8 (kyc case 01305519). Her annual income is approximatety 4150k with salary, bonus, and cannessicen.
Estimated Annual Income(S): 150.000M Estmated amount of investable assels($): <$1 SW
Estimated Net Worth(S): <$1 Nim Amount of assets planned to invest wth PWM($): 2000.00
Other Known Financial Institutions:
Institution: did Country: I use Est. Assets Under Mgt: 2,000.00
Insbbibon: JP Morgan Chase I County: USA Est. Assets Under Mgt 2,000.00
SDNY_GM_00040065
Ilttps://dbforcepb.my.salesforcCLINEJIDEArdiAlL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002889
EFTA_00150674
EFTA01284152

KYC Print Page 6 of 10
bsteutice: I Country Est Asseb Under Mgt:
Meese Indicate the family tuabon of the individual (martal status, other Carney members, etc.):
SDNY_GM_00040066
littps://dbforcepb.my.salesforcalNEJIDEschiltiN0000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002890
EFTA_00150675
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUDERN FINANCIAL RELATIONSHIP
Risk Rabng Comments:
Booking Center 2 NY E Offshore RiskO Moderate n ci 1 H igh Risk Yoonsun Chung
NY/O ffshor
(Compliance *nature)
O DB Employee O CEr Managed PIC • DB is Trustee/Co-Trustee O Bearer Shares
4. Attachments
A. Type of Photo ID Provided El Drivers license O Passport O National/State ID O Other
B. C at h ta e c c h k e lis d t of names 0ndivkluals and/or entities) that were submitted for database searches is O Yes 74 No
C. Please indicate the results of the database searches performed
RDC searches complete 2 Yes O No negative results found O yes tri No
PCR checks complete 2 Yes O No negative results found O Yes No
OFAC checks complete 2 Yes O No negative results found O yes 0 No
BIS searches complete (Leds/Nexis, Facttva, Reuters, Dow Jones, ChB) 2 Yes O No negative results found • yes Fa No
Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 2 No
Martindale-Hubbell searched (LawyersAaw Arms orgy) 0 Yes 2 No negative results found 0Yes • No
Please summarize any negative results from the database searches indicated above:
No Negative Media
Court case referencing of Pennsylvania against Bayer Eswre Inc is fora personal injury and is a false positive as the in the
KYC resides n New York and has no current injuries.
D.
No Negative Media
No Court Cases
NES, I1C:
Previous!). KYC approved. See Case #:01141322 for relevant attachments
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? O yes gt No
To the best of your knowledge, has the customer ever been involved in any past (ligation again
Deutsche Bank AG or any of is subsidiaries or is the customer threatening litigation against
F. Deutsche Bank AG or any of in subsidiaries? af Yes, provide data* below and contact Qualify O Yes RI No
AV* an falahtf) or fhe Regulatory Control Group andn otdy analance immediately)
G. D co o u e n s t r t i h e e s c o l r 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 rt 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 th n e A r s a s s e s ts o c C ia o t n io tr n o l / ( i M nte C ra ) c ? ti ons within 0 Yes 2 No
H. Does the client or related party have any financial or other association/ interactions within high O yes g No
risk countries?
I. Corporate Documentation Attached (Legal Entitles Only) 2 Yes • No • Not Applicable
3. Undisclosed Principal Poem Complete (Intermediaries Only) 0 yes 0 No 2 Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is net in English, please provide an English summary of the
nature/contents of the non-English Documentation:
L. Special Risk Factors
Does the account have Nexus to Special Risk Couritries? O Yes El No
Is the account shoran unusually complex?
0 Yes Ira No
SDNY_GM_00040067
https://dbforcepb.my.salesforcaraNtErilDnEgISAIdIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002891
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KYC Print Page 8 of 10
Is there any IndkatIon the client set up a non operating company El ONO
expressly for the purpose of transfening shares to third parties' yes
Is there any Indication this could be a prohibited business relationship' q Yes EZNo
Are the bearer shares Identified subject to acceptable antrdss O yes ©No
SONY_GM_00040068
https://dbforcepb.my.salesforeCLINErilEIEJNITIAL000000D9Di&e... 7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002892
EFTA_00 150677
EFTA01284155

KYC Print Page 9 of 10
M. Case Comments
Created By Date Comments
The account holders have been cknts of DB since 2013. Below are the reasons why we were comfortable
with approving this high risk KYC remediatlon -
• Information and supporting documents required by our AML Policy were provided and reviewed; and as a
result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the
account and expected transacbon actr2
• The account holders M=I source cf wealth and source of funds were
Kshitg Golan 7/27/117 5:06 PM sufficiently detailed and appears plausible
• Negatke Media: One of the account holders, used to work for Jeffrey Epstein. Jeffrey Epstein
s a registered sex offender. In June 2008, under a plea deal, he was sentenced to 18 month for soliciting a
minor. He served 13 months. See approval from Chip Packard under KYC 01082293.
• Our review did not identrfy any red flags and thus there vas no need to escalate this case further.
• We performed due diligence searches on all parties and did not find the names searched to be on any
/sanctions lists.
ONSHORE APPROVALS
Client Facing Professional (CFP): stewart °Wield (Signature) 720:2017
stewart oktheld
atce Director/Business Head' Andrew F Gallivan (Signature) 7/25.2017
Andrew F Gal van
Regional Office Director: (Signatue)
AM Business Risk:
(Signature)
AML Compliance:
(Signature)
Kshrb) Golan, Kshitg Golani 7/27/2017
Yoonsun Chung Yoonsun Chung 7/27/2017
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager. (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub.hiarket Team Head
(SNTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Rank Private Wealth Management
(PWAI) worldwide is committed to professionally serve the interests of its clients. To do so. Client Facing
Professionals I(I) (CFP.9 should establish and maintain business relationships only with persons who satisfy 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 of CFP's to demonstrate that they know their client both at the
SDNY_GM_00040069
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002893
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KYC Print Page 10 of 10
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. 1 confirm that I have no suspicions relating to the money laundering or
unethical activities on the part oft he client(s) and that 1 have followeda ll the procedures relating to account opening
as described in the PWMA mericas Procedures and the PWM Global KYC Policy
(1) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth Advisors. Product Officers,
Brokers, Client Managers, etc.
Deutsche Bank Americas New York VA
SONY_GM_00040070
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EFTA_00150679
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